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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 2021-01-04
IN RA APPROVED 2017-06-29
FL RA APPROVED 2017-06-21
  • TX RA
    APPROVED
    Since 2021-01-04
  • IN RA
    APPROVED
    Since 2017-06-29
  • FL RA
    APPROVED
    Since 2017-06-21

Branch Locations

6767 N Wickham Rd Ste 400, Melbourne, FL 32940 • United States

Palm Bay, FL • 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
Wells Fargo Advisors Financial Network Llc Lafayette IA 05/2009 05/2017
Ameriprise Financial Advisors Inc. Melbourne FL 05/2017 03/2020
Ameriprise Financial Services, Llc Melbourne FL 03/2020 Present
Previous Registrations
  • 2009-05-21 → 2017-06-06
    Lafayette, IN
    Chesterton, IN
    Morton, IL
    Lafayette, IN
    Melbourne, FL
  • 1999-02-03 → 2009-05-22
    J.J.B. Hilliard, W.L. Lyons, Llc
    Lafayette, IN
    Lafayette, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-03-23
S63 Uniform Securities Agent State Law Examination 1997-10-21
  • S65 Uniform Investment Adviser Law Examination
    2001-03-23
  • S63 Uniform Securities Agent State Law Examination
    1997-10-21

View on SEC IAPD

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