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David Michael Caraglior

Ameriprise Financial Services, LLC

Stratford, CT

Southbury, CT

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2017-10-19
  • CT RA
    APPROVED
    Since 2017-10-19

Branch Locations

6580 Main St Ryders Landing Ste 102, Stratford, CT 06614-1605 • United States

Southbury, CT • 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
Metlife Resources Wallingford CT 01/2006 10/2017
Massachusetts Mutual Life Insurance Company Springfield MA 07/2016 10/2017
Mml Investors Services, Llc Shelton CT 03/2017 10/2017
Ameriprise Financial Services Inc Stratford CT 10/2017 03/2020
Ameriprise Financial Services, Llc Stratford CT 03/2020 Present
  • 01/2006 → 10/2017
    Metlife Resources
    Wallingford, CT
  • 07/2016 → 10/2017
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 03/2017 → 10/2017
    Mml Investors Services, Llc
    Shelton, CT
  • 10/2017 → 03/2020
    Ameriprise Financial Services Inc
    Stratford, CT
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    Stratford, CT
Previous Registrations
  • 2017-03-25 → 2017-10-30
    Mml Investors Services, Llc
    Shelton, CT
  • 2005-11-30 → 2017-03-25
    Msi Financial Services, Inc.
    Shelton, CT
    Shelton, CT
    Springfield, MA
    Springfield, MA
    Wallingford, CT
  • 1994-09-09 → 2006-01-06
    Metlife Investment Fund Services Llc
    Wallingford, CT
Other Businesses

Independent Insurance Brokering; MetLife; 01/01/2005; Universal Life.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-05-11
  • S63 Uniform Securities Agent State Law Examination
    2011-05-11
Designations
Other Names
  • David M Caraglior

View on SEC IAPD

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STATE FARM INVESTMENT MANAGEMENT CORP. · Stratford, CT
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HIGHTOWER ADVISORS, LLC · Milford, CT
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