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Peter J. Mathes

Ameriprise Financial Services, LLC

Terryville , CT

Southport, CT

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2020-07-07
CT RA APPROVED 2020-07-02
  • MN RA
    APPROVED
    Since 2020-07-07
  • CT RA
    APPROVED
    Since 2020-07-02

Branch Locations

Terryville , CT • United States

2507 Post Rd Fl 3, Southport, CT 06890-1259 • 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
Prudential Investment Management Services Llc Hartford CT 04/2005 04/2019
Global Portfolio Strategies, Inc. Hartford CT 10/2006 12/2018
Prudential Insurance Company Of America Hartford CT 04/2005 04/2019
Ameriprise Financial Services, Llc. Minneapolis MN 06/2020 Present
Unemployment New Hartford CT 04/2019 06/2020
  • 04/2005 → 04/2019
    Prudential Investment Management Services Llc
    Hartford, CT
  • 10/2006 → 12/2018
    Global Portfolio Strategies, Inc.
    Hartford, CT
  • 04/2005 → 04/2019
    Prudential Insurance Company Of America
    Hartford, CT
  • 06/2020 → Present
    Ameriprise Financial Services, Llc.
    Minneapolis, MN
  • 04/2019 → 06/2020
    Unemployment
    New Hartford, CT
Previous Registrations
  • 2006-10-23 → 2018-12-31
    Global Portfolio Strategies, Inc.
    Hartford, CT
  • 1999-11-17 → 2005-04-30
    Prudential Retirement Brokerage Services, Inc.
    Hartford, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-02-26
S63 Uniform Securities Agent State Law Examination 1994-04-22
  • S65 Uniform Investment Adviser Law Examination
    1996-02-26
  • S63 Uniform Securities Agent State Law Examination
    1994-04-22
Other Names
  • Peter Mathes
  • Peter James Mathes
  • Peter J Mathes

View on SEC IAPD

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