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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 1994-01-07
  • TX RA
    APPROVED
    Since 1994-01-07

Branch Locations

1200 Summit Ave Ste 860, Fort Worth, TX 76102-4411 • United States

Lewisville, TX • United States

Lubbock, TX • 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. Hurst TX 09/2005 03/2020
Ameriprise Financial Services, Llc Fort Worth TX 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 10107 Peoria Ave, Lubbock, TX 79423, ,; Not Investment-Related; 06/01/2015 / Single Family; 401 Crown of Gold Drive, Lewisville, TX 75056, ,; Not Investment-Related; 06/24/2019. Board of Directors; The Reserve HOA; Board Member; 2425 N. Central Expressway, Suite 500, , Lewisville, TX, 75080; Not Investment-Related; 05/08/2024; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-09-02
  • S63 Uniform Securities Agent State Law Examination
    1993-09-02
Other Names
  • Phil Smiley
  • W Philip Smiley

View on SEC IAPD

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