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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-16
  • NY RA
    APPROVED
    Since 2021-04-16

Branch Locations

259 Main St Ste 205, East Aurora, NY 14052-1662 • United States

219 E Main St, Batavia, NY 14020 • United States

Oakfield, NY • 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. Batavia NY 09/2005 03/2020
Ameriprise Financial Services, Llc Batavia NY 03/2020 Present
Other Businesses

Real Estate Ownership; Lot/Land; Rose Rd and Alexander RdBatavia, NY 14020, ,; Not Investment-Related; 04/22/2019. Business Ownership; Pontius Point Properties LLC; member; LLC formed for estate planning reasons to hold family vacation property; 5810 East Lake Rd.Romulus, NY 14541, ,; Not Investment-Related; 09/15/2014; 1 to 9 hours per month; 1 to 9 during trading hours / Deer Haven Hollow, LLC; Co-owner; Real Estate; 2707 Lockport Rd, , Oakfield, NY, 14125; Not Investment-Related; 11/09/2023; 0 hours per month; 0 during trading hours / Stormtack LLC; Owner; Practice management and real estate ownership; 219 East Main Street, , Batavia, NY, 14020; Investment-Related; 01/01/2021; 1 to 9 hours per month; 1 to 9 during trading hours / BroadScope Properties LLC; owner; Real Estate ownership and practice management; 219 East Main St., , Batavia, NY, 14020; Investment-Related; 09/15/2017; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Ducks Unlimited, Inc.; Senior Vice President; One Waterfowl Way, , Memphis, TN, 38120; Investment-Related; 05/28/2026; 10 to 19 hours per month; 1 to 9 during trading hours. Outside Employment; Stormtack, LLC; Owner; Manage advisory business; 219 East Main St, , Batavia, NY, 14020; Investment-Related; 01/01/2021; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; Ducks Unlimited, Inc Investment Sub-Committee; I serve on the investment subcommittee of Ducks Unlimited Inc. The subcommittee offers guidance to the finance committee of the Board of Directors regarding the organization's investment portfolios.; 1 Waterfowl Way, , Memphis, TN, 38120; Investment-Related; 08/15/2023; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-10-18
  • S63 Uniform Securities Agent State Law Examination
    1994-10-18
Designations

View on SEC IAPD

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