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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2015-10-23
TX RA APPROVED_RES 2012-11-05
  • LA RA
    APPROVED
    Since 2015-10-23
  • TX RA
    APPROVED_RES
    Since 2012-11-05

Branch Locations

4110 Lake St Ste 100, Lake Charles, LA 70605 • United States

Lake Charles, LA • 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. Lake Charles LA 11/2012 03/2020
Ameriprise Financial Services, Llc Lake Charles LA 03/2020 Present
Previous Registrations
Other Businesses

Real Estate Ownership; Multi-Family; 713-715-717-719 Clarence stLake chaarles, la 70601, ,; ; 02/05/2002 / Multi-Family; 710 Topsy RdLake Charles, La. 70605, ,; ; 02/05/2002 / Multi-Family; 1514 8th stlake charles, la 70601, ,; ; 02/05/2002 / Multi-Family; 2303 and 2305 bank stlake charles, la 70605, ,; ; 02/05/2002 / Multi-Family; 1225 4th avenuelake charles, la 70601, ,; ; 02/05/2002 / Multi-Family; 2524 bank stlake charles, la 70601, ,; ; 02/05/2002 / Multi-Family; 2007 8th streetlake charles, la 70601, ,; ; 02/05/2002 / Multi-Family; 1323 18th stlake charles, la 70601, ,; ; 02/05/2002 / Multi-Family; 1325 18th stlake charles, la 70601, ,; ; 02/05/2002 / Commercial; 6902 Garth Rd, , Baytown, TX, 77521; Not Investment-Related; 02/03/2025 / Single Family; 3970 N. Blue Sage Rd, , Lake Charles, LA, 70605; Not Investment-Related; 04/01/2025.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-06-24
S65 Uniform Investment Adviser Law Examination 1993-06-24
  • S63 Uniform Securities Agent State Law Examination
    1993-06-24
  • S65 Uniform Investment Adviser Law Examination
    1993-06-24
Other Names
  • Steve Rice

View on SEC IAPD

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