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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2020-01-06
TX RA APPROVED_RES 2020-01-03
  • FL RA
    APPROVED
    Since 2020-01-06
  • TX RA
    APPROVED_RES
    Since 2020-01-03

Branch Locations

5200 Town Center Cir Ste 600, Boca Raton, FL 33486-1045 • United States

Boca Raton, FL • 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
Summit Brokerage Services Inc Boca Raton FL 02/2003 09/2019
Summit Financial Group Inc Boca Raton FL 02/2003 01/2020
Cetera Advisor Networks Llc El Segundo CA 09/2019 01/2020
Ameriprise Financial Services, Inc Boca Raton FL 01/2020 03/2020
Ameriprise Financial Services, Llc Boca Raton FL 03/2020 Present
  • 02/2003 → 09/2019
    Summit Brokerage Services Inc
    Boca Raton, FL
  • 02/2003 → 01/2020
    Summit Financial Group Inc
    Boca Raton, FL
  • 09/2019 → 01/2020
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 01/2020 → 03/2020
    Ameriprise Financial Services, Inc
    Boca Raton, FL
  • 03/2020 → Present
    Boca Raton, FL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-09-01
S63 Uniform Securities Agent State Law Examination 1992-03-26
  • S65 Uniform Investment Adviser Law Examination
    1998-09-01
  • S63 Uniform Securities Agent State Law Examination
    1992-03-26

View on SEC IAPD

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