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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 2023-03-13
TN RA APPROVED 2018-05-02
GA RA APPROVED 2003-04-29
  • TX RA
    APPROVED_RES
    Since 2023-03-13
  • TN RA
    APPROVED
    Since 2018-05-02
  • GA RA
    APPROVED
    Since 2003-04-29

Branch Locations

412 Georgia Ave Ste 210, Chattanooga, TN 37403 • United States

Chattanooga, TN • 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. Trenton GA 09/2005 03/2020
Ameriprise Financial Services, Llc Chattanooga TN 03/2020 Present
Other Businesses

Business Ownership; Cody Sims Enterprises, LLC; Owner; Acting, performing, modeling, influencing.; 600 Broadway, Unit 1108, Nashville, TN, 37203; Not Investment-Related; 04/01/2026; 1 to 9 hours per month; 0 during trading hours. Outside Employment; The Block Agency; Talent / Model - As an Independent Contractor (not employee of The Block Agency), I could engage in contractual work in the following fields: Acting, Print, Runway, Commercials, Film/TV, Theatre, Voice Over. There's no guarantee that I will receive bookings nor are there any standing contracts for any of these fields. But, there's opportunity to work in them of which I may choose to accept or decline on a case by case basis.; ; 818 18th Ave S 10th floor, , Nashville, TN, 37203; Not Investment-Related; 05/09/2022; 20 to 39 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-04-22
S63 Uniform Securities Agent State Law Examination 1994-06-15
  • S66 Uniform Combined State Law Examination
    2003-04-22
  • S63 Uniform Securities Agent State Law Examination
    1994-06-15
Other Names
  • Cody Sims

View on SEC IAPD

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