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Stephen Joel Gross

Ameriprise Financial Services, LLC

Sarasota, FL

Sarasota, FL

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2009-10-05
  • FL RA
    APPROVED
    Since 2009-10-05

Branch Locations

1819 Main St Ste 1002 10Th Floor, Sarasota, FL 34236 • United States

Sarasota, FL • 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. Bradenton FL 10/2009 03/2020
Ameriprise Financial Services, Llc Sarasota FL 03/2020 Present
Previous Registrations
  • 2005-10-17 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Bradenton, FL
    Bradenton, FL
  • 1995-09-12 → 2005-10-18
    Morgan Stanley Dw Inc.
    Bradenton, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-06
S63 Uniform Securities Agent State Law Examination 1995-09-27
  • S65 Uniform Investment Adviser Law Examination
    1995-10-06
  • S63 Uniform Securities Agent State Law Examination
    1995-09-27

View on SEC IAPD

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