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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 2021-09-10
  • TX RA
    APPROVED
    Since 2021-09-10

Branch Locations

809 W Riordan Rd Ste 101, Flagstaff, AZ 86001 • United States

Flagstaff, AZ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Flagstaff AZ 10/2012 09/2021
Sticky Sheets Unlimited, Llc. Colorado Springs CO 07/2005 07/2017
Ameriprise Financial Services, Llc Flagstaff AZ 09/2021 Present
Previous Registrations
  • 2012-10-01 → 2021-09-11
    Grand Canyon, AZ
    Flagstaff, AZ
    Flagstaff, AZ
    Flagstaff, AZ
    Flagstaff, AZ
  • 2005-12-20 → 2012-10-01
    Chase Investment Services Corp.
    Camp Verde, AZ
    Grand Canyon, AZ
    Grand Canyon, AZ
    Flagstaff, AZ
    Chicago, IL
Other Businesses

Real Estate Ownership; Single Family; 210 W Cedar Ave, , Flagstaff, AZ, 86001; Investment-Related; 12/15/2018.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-12-08
S63 Uniform Securities Agent State Law Examination 1992-08-03
  • S65 Uniform Investment Adviser Law Examination
    2005-12-08
  • S63 Uniform Securities Agent State Law Examination
    1992-08-03
Other Names
  • Roland Kevin Cook

View on SEC IAPD

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