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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2019-08-19
TX RA APPROVED_RES 2018-07-26
NC RA APPROVED 2001-12-31
  • SC RA
    APPROVED
    Since 2019-08-19
  • TX RA
    APPROVED_RES
    Since 2018-07-26
  • NC RA
    APPROVED
    Since 2001-12-31

Branch Locations

100 S Main St Ste O, Summerville, SC 29483 • United States

1477 Long Grove Dr Unit 205 Mailbox 7, Mount Pleasant, SC 29464 • United States

27 Cleveland St Ste 103, Greenville, SC 29601 • United States

401 N Edgeworth St Ste A, Greensboro, NC 27401 • United States

Isle Of Palms, SC • 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. Greensboro NC 09/2005 03/2020
Ameriprise Financial Services, Llc Greensboro NC 03/2020 Present
Other Businesses

Real Estate Ownership; Commercial; 401-A N. Edgeworth StGreensboro, NC 27401, ,; ; 06/02/2006 / Commercial; 339 Knox Campground RdSeneca, SC, ,; ; 02/01/2011 / Commercial; Seaside InnIsle of Palms, SC, ,; ; 06/01/2005. Business Ownership; Tiger PSS, LLC; ; Holds Rental Real Estate; 1311 Dasher Ln Reston, VA, ,; ; ; 0 hours per month; / Triad Advisor Properties, LLC; ; Holds Real Estate for our Amerprise Branch Office; 401-A N. EdgeworthGreensboro, NC 27401, ,; ; ; 0 hours per month; / Bailey & Smith Partnership; ; Share office expenses; 401-A North Edgeworth StreetGreensboro, NC 27401, ,; Not Investment-Related; 06/02/2006; 0 hours per month; 60 during trading hours / Finley Street Properties LLC; Owner; Real Estate; 22 Yacht Harbor Court, , Isle of Palms , SC, 29451; Not Investment-Related; 12/04/2020; 1 to 9 hours per month; 1 to 9 during trading hours / DH Worx; Owner; Manage Ameriprise Business; 401-A N. Edgeworth Street, , Greensboro, NC, 27401; Investment-Related; 11/25/2025; 40 to 59 hours per month; 40 to 59 during trading hours. Board of Directors; Clemson University Board of Visitors; Member; Clemson University, BOV, Clemson, SC, 29634; Not Investment-Related; 08/01/2024; 1 to 9 hours per month; 0 during trading hours. Outside Employment; ECG Tax Services; Co-owner; Tax Preparation; 451 N. Eugene St, Apt K, Greensboro, NC, 27401; Not Investment-Related; 04/01/2025; 1 to 9 hours per month; 1 to 9 during trading hours / DH Worx; Owner; Manage advisory business; 401-A N. Edgeworth Street , , Greensboro, NC, 27401; Investment-Related; 11/25/2025; 40 to 59 hours per month; 40 to 59 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-02-02
S63 Uniform Securities Agent State Law Examination 1995-01-20
  • S65 Uniform Investment Adviser Law Examination
    1995-02-02
  • S63 Uniform Securities Agent State Law Examination
    1995-01-20
Other Names
  • Doug Smith

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