Brian C Battle

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	2013-05-01
NC	RA	APPROVED	2001-12-31

TX RA
APPROVED_RES

Since 2013-05-01
NC RA
APPROVED

Since 2001-12-31

Branch Locations

Matthews, NC • United States

6100 Fairview Rd Ste 1105, Charlotte, NC 28210 • 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.	Charlotte	NC	09/2005	03/2020
Ameriprise Financial Services, Llc	Charlotte	NC	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Charlotte, NC
03/2020 → Present

Ameriprise Financial Services, Llc

Charlotte, NC

Other Businesses

Business Ownership; Brian Battle, Inc.; ; Consulting; 924 Jefferson DriveCharlotte, NC 28270, ,; Not Investment-Related; 01/01/2008; 10 to 19 hours per month; 10 to 19 during trading hours. Board of Directors; Brian Battle, Inc.; Chairman; 924 Jefferson DriveCharlotte, NC 28270, ,; ; 01/01/2014; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Brian Battle Inc.; President; Consulting firm for Brian Battle & Associates; 924 Jefferson DriveCharlotte, NC 28270, ,; Not Investment-Related; 01/01/2008; 10 to 19 hours per month; 10 to 19 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-07-20
S63	Uniform Securities Agent State Law Examination	1994-06-20

S65 Uniform Investment Adviser Law Examination

1994-07-20
S63 Uniform Securities Agent State Law Examination

1994-06-20

Other Names

Brian C Battle
Brian Christopher Battle

View on SEC IAPD