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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2006-06-15
  • SC RA
    APPROVED
    Since 2006-06-15

Branch Locations

465 Woodruff Rd, Greenville, SC 29607 • United States

Greenville, SC • 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
Ameriprise Financial Services, Inc. Greenville SC 09/2005 03/2020
Ameriprise Financial Services, Llc Greenville SC 03/2020 Present
Other Businesses

Business Ownership; Advisor Properties, LLC; ; Real estate holding company; 30 Parkins Lake RoadGreenville, SC 29607, ,; Not Investment-Related; 06/15/2015; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-28
S63 Uniform Securities Agent State Law Examination 1998-07-10
  • S65 Uniform Investment Adviser Law Examination
    1999-06-28
  • S63 Uniform Securities Agent State Law Examination
    1998-07-10

View on SEC IAPD

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