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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-16 |
Branch Locations
455 W 23Rd St Ste 1F, New York, NY 10011-2156 • United States
Verbank, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | New York | NY | 09/2005 | 03/2020 |
| Ameriprise Financial Services, Llc | New York | NY | 03/2020 | Present |
Business Ownership; Ddockend; CEO; Operating company being set up for the management of my financial planning practice.; 15 Camby Road, , Verbank, NY, 12585; Not Investment-Related; 09/01/2022; 20 to 39 hours per month; 20 to 39 during trading hours. Outside Employment; Ddockend; CEO - Oversee business of my financial planning practice.; ; 15 Camby Road, , Verbank, NY, 12585; Not Investment-Related; 09/01/2022; 20 to 39 hours per month; 20 to 39 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-09-16 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-18 |
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