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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_RES 2006-10-04
  • TX RA
    APPROVED_RES
    Since 2006-10-04

Branch Locations

450 Lexington St Ste 202, Auburndale, MA 02466 • United States

Newton, MA • 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. Auburndale MA 09/2005 03/2020
Ameriprise Financial Services, Llc Auburndale MA 03/2020 Present
Other Businesses

Business Ownership; Broad Reach Holdings LLC; Owner; Setting Up LLC for tax purposes; 450 Lexington St, Suite 202, Newton, MA, 02466; Investment-Related; 06/01/2024; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; DBG Lexington ST LLC; Creating an LLC to hold real estate (office condo); 450 Lexington ST. Newton, MA . 02466, ,; Not Investment-Related; 08/01/2018; 1 to 9 hours per month; 1 to 9 during trading hours / QL Group LLC; To pay employee payroll; 450 Lexington St, Newton, MA, ,; Not Investment-Related; 10/01/2018; 1 to 9 hours per month; 1 to 9 during trading hours / 15 Broadway LLC; Moving investment property into LLC; 15 Boradway St, , Newton, MA, 2460; Not Investment-Related; 07/31/2020; 1 to 9 hours per month; 0 during trading hours / 9 - 11 Morton St LLC; Investment property; 9 - 11 Morton St, , Watertown, MA, 2472; Not Investment-Related; 07/31/2020; 1 to 9 hours per month; 0 during trading hours / Falmouth Yacht Club Finance Committee; Member of FYC finance committee. Meet with the committee to look at the club's finances on a monthly basis. Cash flow analysis, monthly expenses, future needs of restaurant , bar and waterfront.; 290 Clinton Ave, , Falmouth, MA, 02540; Not Investment-Related; 06/01/2025; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-02-24
  • S63 Uniform Securities Agent State Law Examination
    1994-02-24
Other Names
  • Doug Gage

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