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Robert Neil Ceccarelli

Ameriprise Financial Services, LLC

New Haven, CT

Fairfield, CT

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-12-20
CT RA APPROVED 2012-08-31
  • TX RA
    APPROVED_RES
    Since 2019-12-20
  • CT RA
    APPROVED
    Since 2012-08-31

Branch Locations

545 Long Wharf Dr Ste 501, New Haven, CT 06511 • United States

Fairfield, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. New Haven CT 08/2012 03/2020
Ameriprise Financial Services, Llc New Haven CT 03/2020 Present
Previous Registrations
  • 2009-06-01 → 2012-09-11
    Morgan Stanley
    New Haven, CT
  • 2006-02-21 → 2009-06-01
    Citigroup Global Markets Inc.
    New Haven, CT
    New Haven, CT
    New York, NY
    New Haven, CT
  • 2003-06-20 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    New Haven, CT
  • 1999-02-03 → 2003-06-23
    Prudential Equity Group, Llc
    Westport, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-06
S63 Uniform Securities Agent State Law Examination 1992-03-28
  • S65 Uniform Investment Adviser Law Examination
    1997-05-06
  • S63 Uniform Securities Agent State Law Examination
    1992-03-28

View on SEC IAPD

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