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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-03-03 |
Branch Locations
551 Newton St, South Hadley, MA 01075 • United States
Belchertown, MA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services Inc | South Hadley | MA | 06/2017 | 03/2020 |
| Anthem Securities | Belchertown | MA | 08/2015 | 04/2017 |
| Ameriprise Financial Services, Llc | South Hadley | MA | 03/2020 | Present |
Business Ownership; SRD Operations, LLC; Manage Operations of Financial Planning practice.; Ameriprise Financial Planning business; 551 Newton St, , South Hadley, MA, 1075; Investment-Related; 03/10/2021; 20 to 39 hours per month; 10 to 19 during trading hours. Outside Employment; SRD Operations, LLC; Chief Operations Officer - Financial advising, staff development, business operations. Aide in providing management and decision making with regard to strategic vision, operational and financial support of the Ameriprise Financial Practice.; ; 551 Newton St, , South Hadley, MA, 01075; Investment-Related; 03/11/2021; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-30 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-02 |
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