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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2001-12-31
  • NC RA
    APPROVED
    Since 2001-12-31

Branch Locations

125 Millstone Drive, Hillsborough, NC 27278 • United States

Greensboro, NC • 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. Hillsborough NC 09/2005 03/2020
Ameriprise Financial Services, Llc Hillsborough NC 03/2020 Present
Other Businesses

Real Estate Ownership; Commercial; 125 Millstone DriveHillsborough, NC 27278, ,; ; 08/01/1997.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-12-07
S65 Uniform Investment Adviser Law Examination 1994-12-07
  • S63 Uniform Securities Agent State Law Examination
    1994-12-07
  • S65 Uniform Investment Adviser Law Examination
    1994-12-07
Other Names
  • Jim Dooley

View on SEC IAPD

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