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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 1999-09-18
  • OH RA
    APPROVED
    Since 1999-09-18

Branch Locations

5942 Renaissance Place Suite A, Toledo, OH 43623 • United States

Toledo, OH • 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. Toledo OH 09/2005 03/2020
Ameriprise Financial Services, Llc Toledo OH 03/2020 Present
Other Businesses

Business Ownership; K.C. Films, LLC; I'm CEO, President, and 100% owner.; Movie Production; 2840 Orchard Tree Lane, , Toledo, OH, 43617; Not Investment-Related; 01/01/2007; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-07-19
  • S63 Uniform Securities Agent State Law Examination
    1996-07-19
Designations

View on SEC IAPD

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