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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-09-23
WA RA APPROVED 1995-08-01
  • TX RA
    APPROVED_RES
    Since 2016-09-23
  • WA RA
    APPROVED
    Since 1995-08-01

Branch Locations

2702 S 42Nd St Ste 204, Tacoma, WA 98409-7322 • United States

Fircrest, WA • 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. Tacoma WA 09/2005 03/2020
Ameriprise Financial Services, Llc Tacoma WA 03/2020 Present
Other Businesses

Board of Directors; Fircrest Golf Club Long Range Planning Committee; Long Range Planning Committee Member; 1500 Regents Blvd, , Fircrest, WA, 98466; Not Investment-Related; 04/01/2025; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-04-17
S63 Uniform Securities Agent State Law Examination 1995-04-13
  • S65 Uniform Investment Adviser Law Examination
    1995-04-17
  • S63 Uniform Securities Agent State Law Examination
    1995-04-13

View on SEC IAPD

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