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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 2023-11-14
TX RA APPROVED 2014-04-29
MN RA APPROVED 2013-11-20
  • FL RA
    APPROVED
    Since 2023-11-14
  • TX RA
    APPROVED
    Since 2014-04-29
  • MN RA
    APPROVED
    Since 2013-11-20

Branch Locations

7100 Northland Circle N Ste 102, Brooklyn Park, MN 55428 • United States

209 Tabor St, Punta Gorda, FL 33950 • United States

Brooklyn Park, MN • 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. New Hope MN 09/2005 03/2020
Ameriprise Financial Services, Llc Brooklyn Park MN 03/2020 Present
Other Businesses

Business Ownership; Sage Squared, LLC; ; A LEGAL ENTITY TO MANAGE EXPENSES SUCH AS STAFF, PAYROLL FOR NON-SECURITIES RELATED ACTIVITIES, STAFF BENEFITS AND RETIREMENT PLANS, REAL ESTATE RENT UNTILITIES, LIABILITY INSURANCE AND SUCCESSION PLANNING; 4900 HWY 169 SUITE #210NEW HOPE, MN 55428, ,; Not Investment-Related; 06/01/2015; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-06-20
S63 Uniform Securities Agent State Law Examination 1992-09-24
  • S66 Uniform Combined State Law Examination
    2002-06-20
  • S63 Uniform Securities Agent State Law Examination
    1992-09-24
Designations
Other Names
  • Tom Lee

View on SEC IAPD

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