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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

1 Hemphill Pl Ste 104, Malta, NY 12020 • United States

1550 Vestal Pkwy E Ste B, Vestal, NY 13850 • United States

5700 Commons Park, East Syracuse, NY 13057 • United States

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

Business Ownership; Strategic Concepts Group, LLC; Owner and Managing Partner of SCG, LLC. This is the operating entity for our Ameriprise Team practice.; Legal Entity to manage an Ameriprise Practice; 2100 Donna Drive, , Vestal, NY, 13850; Investment-Related; 01/01/2016; 0 hours per month; 0 during trading hours. Outside Employment; Strategic Concepts Group, LLC; CEO - Owner and Managing Partner of SCG, LLC. This is the operating entity for our Ameriprise Team practice.; ; 2108 Donna Drive, , Vestal, NY, 13850; Investment-Related; 01/01/2016; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-09-02
  • S63 Uniform Securities Agent State Law Examination
    1992-09-02

View on SEC IAPD

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