Walter Ray Stephens Iii

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
IA	RA	APPROVED	1999-01-01

IA RA
APPROVED

Since 1999-01-01

Branch Locations

701 Avenue G, Fort Madison, IA 52627 • United States

Keokuk, IA • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Cedar Rapids	IA	12/1994	03/2020
Ameriprise Financial Services, Llc	Keokuk	IA	03/2020	Present

12/1994 → 03/2020

Ameriprise Financial Services, Inc.

Cedar Rapids, IA
03/2020 → Present

Ameriprise Financial Services, Llc

Keokuk, IA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1994-12-30

S63 Uniform Securities Agent State Law Examination

1994-12-30

Other Names

Walter Ray Stephensiii

View on SEC IAPD

Current Employers

Ameriprise Financial Services, Llc

Disclosures

Employment History

Exams

Other Names

Other Firms

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