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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2018-09-21
AL RA APPROVED 2018-09-20
AR RA APPROVED 2018-09-20
DE RA APPROVED 2018-09-20
MS RA APPROVED 2018-09-20
OK RA APPROVED 2018-09-20
RI RA APPROVED 2018-09-20
VA RA APPROVED 2018-09-20
WA RA APPROVED 2016-07-06
MN RA APPROVED 2013-12-20
NV RA APPROVED 2012-05-18
  • NE RA
    APPROVED
    Since 2018-09-21
  • AL RA
    APPROVED
    Since 2018-09-20
  • AR RA
    APPROVED
    Since 2018-09-20
  • DE RA
    APPROVED
    Since 2018-09-20
  • MS RA
    APPROVED
    Since 2018-09-20
  • OK RA
    APPROVED
    Since 2018-09-20
  • RI RA
    APPROVED
    Since 2018-09-20
  • VA RA
    APPROVED
    Since 2018-09-20
  • WA RA
    APPROVED
    Since 2016-07-06
  • MN RA
    APPROVED
    Since 2013-12-20
  • NV RA
    APPROVED
    Since 2012-05-18

Branch Locations

901 3Rd Ave S, Minneapolis, MN 55402 • United States

Minneapolis, MN • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Minneapolis MN 02/2011 03/2020
Ameriprise Financial Services, Llc Minneapolis MN 03/2020 Present
Previous Registrations
  • 2010-09-10 → 2011-02-28
    Waddell & Reed
    Lake Elmo, MN
  • 2005-12-14 → 2010-09-02
    Td Ameritrade, Inc.
    St Paul, MN
    St. Paul, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-12-13
S63 Uniform Securities Agent State Law Examination 1995-04-05
  • S66 Uniform Combined State Law Examination
    2005-12-13
  • S63 Uniform Securities Agent State Law Examination
    1995-04-05
Other Names
  • Randy D Groves
  • Randy D. Groves
  • Randy D. Groves

View on SEC IAPD

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