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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2022-07-13
FL RA APPROVED 2022-06-28
VA RA APPROVED 2015-12-17
MD RA APPROVED 2015-12-16
TX RA APPROVED_RES 2015-12-16
  • DC RA
    APPROVED
    Since 2022-07-13
  • FL RA
    APPROVED
    Since 2022-06-28
  • VA RA
    APPROVED
    Since 2015-12-17
  • MD RA
    APPROVED
    Since 2015-12-16
  • TX RA
    APPROVED_RES
    Since 2015-12-16

Branch Locations

211 N Union Street Suite 100 Suite 109 & 121, Alexandria, VA 22314-2643 • 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. Bethesda MD 12/2015 03/2020
Ameriprise Financial Services, Llc Bethesda MD 03/2020 Present
Previous Registrations
  • 2009-07-07 → 2015-12-18
    Next Financial Group, Inc.
    Houston, TX
    Bethesda, MD
  • 2004-08-02 → 2009-10-06
    Householder Group, Estate & Retirement Specialists
    Bethesda, MD
  • 2008-04-23 → 2008-04-28
    Osaic Services, Inc.
    Mclean, VA
    Bethesda, MD
  • 2004-01-27 → 2004-05-26
    Quick & Reilly, Inc.
    Mclean, VA
  • 1999-09-01 → 2004-02-05
    Washington, DC
Other Businesses

Business Ownership; GBB, LLC [nationwide except FL, where the name is GBB OM, LLC, same Tax ID, same company, GBB name was taken]]; Roles as described by Ameriprise for the AFG Advisor or Principal; Entity established to provide financial planning and advisory services.The $0 amount of monthly net income is because Ameriprise pays my GDC in my personal account, and then I transfer the funds immediately to GBB LLC business account and make all necessary payments and payrolls.; 211 N Union St., Ste 100, Rooms 109, 121, Alexandria, VA, 22314; Not Investment-Related; 06/08/2004; 1 to 9 hours per month; 0 during trading hours. Outside Employment; GBB LLC; Owner; Manage advisory business; 211 N. Union St., Suite 100, Alexandria, VA, 22314; Investment-Related; 06/04/2004; 60 hours per month; 60 during trading hours. Other Business Activities; IFIND Education LLC; Financial Literacy Education and Training; 211 N Union St Ste 100, Room 123, Alexandria, VA, 22314; Not Investment-Related; 01/01/2020; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-12-29
S63 Uniform Securities Agent State Law Examination 1993-12-13
  • S65 Uniform Investment Adviser Law Examination
    1993-12-29
  • S63 Uniform Securities Agent State Law Examination
    1993-12-13
Other Names
  • Gautam Bose
  • G.B. Bose

View on SEC IAPD

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