Thomas Augustus Matera

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-16

NY RA
APPROVED

Since 2021-04-16

Branch Locations

Massapequa, NY • United States

Naples, FL • 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.	Jericho	NY	09/2005	03/2020
Ameriprise Financial Services, Llc	Massapequa	NY	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Jericho, NY
03/2020 → Present

Ameriprise Financial Services, Llc

Massapequa, NY

Other Businesses

Independent Insurance Brokering; Humana; 09/22/2017; Medicare Supplement, Health / United Health Care; 10/25/2017; Medicare Supplement, Health / WellCare; 01/01/2022; Health, Medicare Supplement / Silverscripts; 08/23/2017; Medicare Supplement, Health / Aetna; 08/23/2017; Medicare Supplement, Health. Board of Directors; SWFL Magic association; Public relations; 800 Neff st, , Naples, FL, 34119; Not Investment-Related; 05/23/2023; 1 to 9 hours per month; 0 during trading hours. Outside Employment; MLM-7946, LLC.; Delegate. 1099 employee; Registered Principal Delegate. Required responsibilities include Advisor annual reviews and client Phone calls.; 314 9th Avenue NE, , Lonsdale, MN, 55046; Investment-Related; 01/26/2026; 40 to 59 hours per month; 40 to 59 during trading hours. Other Business Activities; close-up magic at it's best; Magician for hire; 48 hopewell Dr StonyBrook NY 11790, ,; ; 07/15/2013; 1 to 9 hours per month; 0 during trading hours.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1995-03-16

S63 Uniform Securities Agent State Law Examination

1995-03-16

View on SEC IAPD