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One Federal Street 19Th Floor, Boston, MA 02110 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-21 |
Branch Locations
744 Davison Road, Lockport, NY 14094 • United States
645 East Missouri Avenue Suite 170, Phoenix, AZ 85012 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Lockport | NY | 06/2009 | 04/2021 |
| Moors & Cabot Inc | Lockport | NY | 04/2021 | Present |
Business Ownership; Erik O'Keefe; Owner; Consulting; Lockport, NY 14094; not Investment Related; May 2015; 1-9 hours per month; 1-9 during trading hours. Fiduciary Activities; Named or act in a fiduciary capacity; such as attorney-in-fact, trustee, conservator, guardian, executor or personal representative.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-10-28 |
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