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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 2010-04-20
FL RA APPROVED 2009-10-05
  • TX RA
    APPROVED_RES
    Since 2010-04-20
  • FL RA
    APPROVED
    Since 2009-10-05

Branch Locations

5200 Town Center Cir Ste 600, Boca Raton, FL 33486-1045 • United States

St Petersburg, FL • 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. Ft. Lauderdale FL 10/2009 03/2020
Ameriprise Financial Services, Inc. Boca Raton FL 10/2009 03/2020
Ameriprise Financial Services, Llc Boca Raton FL 03/2020 Present
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Ft. Lauderdale, FL
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Boca Raton, FL
  • 03/2020 → Present
    Boca Raton, FL
Previous Registrations
  • 2006-02-10 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Fort Lauderdale, FL
    Ft. Lauderdale, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-02-01
S63 Uniform Securities Agent State Law Examination 1994-11-04
  • S65 Uniform Investment Adviser Law Examination
    2006-02-01
  • S63 Uniform Securities Agent State Law Examination
    1994-11-04

View on SEC IAPD

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