Thomas G Fread

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-01-16
FL	RA	APPROVED	2015-08-24

TX RA
APPROVED_RES

Since 2025-01-16
FL RA
APPROVED

Since 2015-08-24

Branch Locations

Boca Raton, FL • United States

350 E Las Olas Blvd Ste 1700, Ft Lauderdale, FL 33301 • United States

Boca Raton, FL • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Ft Lauderdale	FL	08/2015	03/2020
Ameriprise Financial Services, Llc	Ft Lauderdale	FL	03/2020	Present

08/2015 → 03/2020

Ameriprise Financial Services, Inc.

Ft Lauderdale, FL
03/2020 → Present

Ameriprise Financial Services, Llc

Ft Lauderdale, FL

Previous Registrations

2009-06-01 → 2015-08-27

Morgan Stanley

Plantation, FL
2006-05-30 → 2009-06-01

Citigroup Global Markets Inc.

Plantation, FL
1998-01-01 → 2006-05-31

Banc Of America Investment Services, Inc.

Ft. Lauderdale, FL

Fort Lauderdale, FL

Other Businesses

Board of Directors; Nova Southeastern University; Chair; 3301 College Avenue, , Ft. Lauderdale, FL, 33314; Not Investment-Related; 09/06/2019; 1 to 9 hours per month; 0 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-01-18
S63	Uniform Securities Agent State Law Examination	1993-09-08

S65 Uniform Investment Adviser Law Examination

1996-01-18
S63 Uniform Securities Agent State Law Examination

1993-09-08

Other Names

Tom Fread

View on SEC IAPD