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Nicholas A Haussman

Ameriprise Financial Services, LLC

Cincinnati, OH

Cincinnati, OH

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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 2024-12-18
OH RA APPROVED 2020-09-03
  • TX RA
    APPROVED_RES
    Since 2024-12-18
  • OH RA
    APPROVED
    Since 2020-09-03

Branch Locations

5905 E Galbraith Rd Ste 4200, Cincinnati, OH 45236-2375 • United States

Cincinnati, OH • 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
Wells Fargo Advisors Llc Cincinnati OH 05/2009 11/2016
Wells Fargo Clearing Services, Llc Cincinnati OH 11/2016 07/2020
Ameriprise Financial Services Llc Cincinnati OH 07/2020 Present
Previous Registrations
  • 2008-01-01 → 2020-09-04
    Wells Fargo Clearing Services, Llc
    Cincinnati, OH
  • 2007-01-25 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Cincinnati, OH
    St. Louis, MO
  • 1999-10-15 → 2007-02-02
    Keybanc Capital Markets Inc.
    Cincinnati, OH
    Cincinnati, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-29
S63 Uniform Securities Agent State Law Examination 1992-08-12
  • S65 Uniform Investment Adviser Law Examination
    1999-11-29
  • S63 Uniform Securities Agent State Law Examination
    1992-08-12
Other Names
  • Nicholas A Haussman

View on SEC IAPD

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CHRISTOPHER CHARLES HAIS
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MICHAEL WILLIAM POPIL
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Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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