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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 2007-07-10
GA RA APPROVED 2003-02-04
  • TX RA
    APPROVED_RES
    Since 2007-07-10
  • GA RA
    APPROVED
    Since 2003-02-04

Branch Locations

3325 Paddocks Pkwy Ste 110, Suwanee, GA 30024-6060 • United States

Greensboro, GA • 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. Suwanee GA 09/2005 03/2020
Ameriprise Financial Services, Llc Suwanee GA 03/2020 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-02-25
  • S63 Uniform Securities Agent State Law Examination
    1993-02-25
Designations
Other Names
  • Tracy Aufleger
  • Tracy Goughnour Aufleger

View on SEC IAPD

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