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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-07-13 |
| IL | RA | APPROVED | 2018-01-03 |
Branch Locations
6870 Rote Rd Ste 102, Rockford, IL 61107-2690 • United States
Rockton, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Alpine Trust & Investment Services | Rockford | IL | 02/2016 | 01/2018 |
| Ameriprise Financial Services, Inc. | Rockford | IL | 01/2018 | 03/2020 |
| Ameriprise Financial Services, Llc | Rockford | IL | 03/2020 | Present |
Business Ownership; SWAG Pro, LLC; Member; Pass Through Entity for Business expenses; 6870 Rote Rd Suite 102, , Rockford, IL, 61107; Not Investment-Related; 06/23/2022; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; Swag Pro, LLC; Member - Pass Through Entity for Business expenses; ; 6870 Rote Rd Suite 102, , Rockford, IL, 61107; Not Investment-Related; 07/13/2022; 1 to 9 hours per month; 1 to 9 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-03-28 |
| S63 | Uniform Securities Agent State Law Examination | 1993-05-28 |
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