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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 2016-02-04
  • TX RA
    APPROVED
    Since 2016-02-04

Branch Locations

8505 Technology Forest Pl Ste 203, The Woodlands, TX 77381-1158 • United States

Conroe, TX • 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. Beaumont TX 01/2016 03/2020
Ameriprise Financial Services, Llc The Woodlands TX 03/2020 Present
Previous Registrations
  • 2011-01-03 → 2016-01-12
    Beaumont, TX
    San Antonio, TX
    Beaumont, TX
    Houston, TX
    Orange, TX
    Nederland, TX
    Beaumont, TX
    Lumberton, TX
    Beaumont, TX
    Liberty, TX
    Beaumont, TX
  • 2005-01-14 → 2011-01-03
    Wells Fargo Investments, Llc
    Beaumont, TX
    Beaumont, TX
    Orange, TX
    Houston, TX
    Houston, TX
    Nederland, TX
Other Businesses

Real Estate Ownership; We own a Spinnaker Lake Dillon Time Share Condo. Previously it was just a vacation property but we have decided to try and rent the week through VRBO in years we don't use it personally to offset the yearly dues.; Spinnaker Lake Dillon, 317 W. LaBonte St., , Dillon, CO, 80435; Not Investment-Related; 03/01/2022. Business Ownership; NSRAS, LLC; Administrative; On June 13, 2019 I submitted a name change for my LLC (previously known as BAB Financial Services, LLC. dated 12/31/2019) to it's new name NSRAS, LLC.; 2325 Goldenglade Dr, , Conroe, TX, 77384; Not Investment-Related; 06/13/2019; 0 hours per month; 0 during trading hours. Outside Employment; NSRAS, LLC; Owner/President - Owner, I 1099 all my income from Ameriprise into my LLC for tax and accounting purposes.; ; 2325 Goldenglade Dr, , Conroe, TX, 77384; Not Investment-Related; 11/10/2022; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-12-27
S63 Uniform Securities Agent State Law Examination 1994-11-03
  • S66 Uniform Combined State Law Examination
    2004-12-27
  • S63 Uniform Securities Agent State Law Examination
    1994-11-03

View on SEC IAPD

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