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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2014-01-07
  • MN RA
    APPROVED
    Since 2014-01-07

Branch Locations

901 3Rd Ave S, Minneapolis, MN 55402-3367 • United States

Isanti, MN • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Minneapolis MN 09/2005 03/2020
Ameriprise Financial Services, Llc Minneapolis MN 03/2020 Present
Other Businesses

Name of Activity: COBORNS GROCERY; Date Activity Started: 07/2016; Type of Activity: RETAIL SALES; Role/Relationship: EMPLOYEE; Responsibilities: MEAT AND SEAFOOD SERVICE COUNTER; Income Per Year: UP TO $10,000; Total hours Per Month: 60 - 80; Hours During Trading Hours per Month: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? NO; Is this activity likely to interfere with your responsibilities to the company and its clients? NO; ---END---Name of Activity: RENTAL PROPERTY; Date Activity Started/modified/ended: 12/2014; Type of Activity: INVESTMENT REAL ESTATE; Role/Relationship: OWNER/PROPRIETOR; Responsibilities: OWNER/MANAGER RENTAL REAL ESTATE; Income Per Year: UP TO $10,000; Total hours Per Month: 0 - 20; Hours During Trading Hours per Month: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? NO; -----END-----

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2006-09-18
  • S63 Uniform Securities Agent State Law Examination
    2006-09-18
Other Names
  • Doug Gehrke

View on SEC IAPD

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