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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 1993-04-15
  • WA RA
    APPROVED
    Since 1993-04-15

Branch Locations

3804 Kern Way Ste B, Yakima, WA 98902 • United States

Yakima, WA • United States

Disclosures

2 disclosure categories 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 Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Spokane WA 02/1993 03/2020
Ameriprise Financial Services, Llc Yakima WA 03/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-03-26
S63 Uniform Securities Agent State Law Examination 1993-03-09
  • S65 Uniform Investment Adviser Law Examination
    1993-03-26
  • S63 Uniform Securities Agent State Law Examination
    1993-03-09
Other Names
  • John Roger Mcdougall

View on SEC IAPD

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