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Karen W Phillips

Ameriprise Financial Services, LLC

Providence, RI

East Freetown, MA

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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 2016-01-04
RI RA APPROVED 2014-07-01
  • TX RA
    APPROVED_RES
    Since 2016-01-04
  • RI RA
    APPROVED
    Since 2014-07-01

Branch Locations

1 Citizens Plz Ste 610, Providence, RI 02903-1344 • United States

East Freetown, MA • 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. Providence RI 06/2014 03/2020
Ameriprise Financial Services, Llc Providence RI 03/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-10-19
S63 Uniform Securities Agent State Law Examination 1999-10-12
  • S66 Uniform Combined State Law Examination
    2010-10-19
  • S63 Uniform Securities Agent State Law Examination
    1999-10-12
Other Names
  • Karen Whiting Phillips
  • Karen Whiting Neumann

View on SEC IAPD

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