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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-05-01
  • NY RA
    APPROVED
    Since 2025-05-01

Branch Locations

777 Third Avenue 20Th Floor, New York, NY 10017-1401 • United States

New York, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northeast Securities, Inc. New York NY 07/2012 07/2017
R F Lafferty & Co Inc New York NY 07/2017 01/2024
Ameriprise Financial Services, Llc. New York NY 01/2024 Present
  • 07/2012 → 07/2017
    Northeast Securities, Inc.
    New York, NY
  • 07/2017 → 01/2024
    R F Lafferty & Co Inc
    New York, NY
  • 01/2024 → Present
    New York, NY
Other Businesses

Real Estate Ownership; Multi-Family; 171 East 84th St, 33c, New York, NY, 10028; Investment-Related; 12/27/2011 / Multi-Family; 1316 Titania Lane, , mclean, VA, 22102; Investment-Related; 12/27/2011. Business Ownership; Hieber Broadway LLC; member; Real Estate; 171 east 84th street, 33d, New York, NY, 10028; Investment-Related; 12/27/2011; 1 to 9 hours per month; 0 during trading hours / Hieber Astoria, LLC; member; Real Estate; 171 east 84th street, 33d, New York, NY, 10028; Investment-Related; 12/27/2011; 1 to 9 hours per month; 0 during trading hours / Hieber Plainfield, LLC; member; Real Estate; 171 east 84th street, 33d, New York, NY, 10028; Investment-Related; 12/27/2011; 1 to 9 hours per month; 0 during trading hours / Hieber Reade Street, LLC; member; Real Estate; 171 east 84th street, 33d, New York, NY, 10028; Investment-Related; 12/27/2011; 1 to 9 hours per month; 0 during trading hours / Kalarawa, LLC; my trust is a 50% member along with my sister's trust; Real Estate; 171 East 84th street, apt 33d, new york, NY, 10028; Not Investment-Related; 11/01/2024; 1 to 9 hours per month; 0 during trading hours. Fiduciary Activities; Trustee.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-04-30
S63 Uniform Securities Agent State Law Examination 1993-08-26
  • S66 Uniform Combined State Law Examination
    2025-04-30
  • S63 Uniform Securities Agent State Law Examination
    1993-08-26

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