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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 2018-07-14
FL RA APPROVED 2017-07-31
  • TX RA
    APPROVED_RES
    Since 2018-07-14
  • FL RA
    APPROVED
    Since 2017-07-31

Branch Locations

12620 World Plaza Ln Ste 3 Bldg 60, Fort Myers, FL 33907-3996 • United States

Ft Myers Beach, 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Fort Myers FL 07/2008 06/2017
Ameriprise Financial Services Inc Fort Myers FL 06/2017 03/2020
Ameriprise Financial Services, Llc Fort Myers FL 03/2020 Present
  • 07/2008 → 06/2017
    Lpl Financial
    Fort Myers, FL
  • 06/2017 → 03/2020
    Ameriprise Financial Services Inc
    Fort Myers, FL
  • 03/2020 → Present
    Fort Myers, FL
Previous Registrations
  • 2008-07-11 → 2017-08-08
    Ft. Myers, FL
    Naples, FL
    Fort Myers, FL
  • 2007-02-22 → 2008-05-27
    Morgan Keegan & Company, Llc
    Birmingham, AL
    Fort Myers, FL
    Memphis, TN
  • 2006-05-15 → 2007-02-21
    Amsouth Investment Management Company Llc
    Memphis, TN
  • 2005-04-25 → 2006-03-16
    Amsouth Investment Management Company Llc
    Naples, FL
  • 2001-03-19 → 2004-12-02
    Southtrust Securities, Llc
    Bonita Springs, FL
Other Businesses

Business Ownership; AMAA Group Incorporated; President and owner. As President I am a paid employee. Non Investment related; Managing advisor practice. Non investment related.; 108 Bay Mar Drive Fort Myers Beach, Fl 33931, ,; Not Investment-Related; 07/30/2013; 1 to 9 hours per month; 0 during trading hours / Cherry Properties II LLC; Member; Holding company; 108 Bay Mar Drive, , Fort Myers Beach, FL, 33931; Not Investment-Related; 11/29/2022; 0 hours per month; 0 during trading hours. Board of Directors; Fort Myers Beach Soccer Club; President; 108 BAY Mar Dr, , Fort Myers Beach, FL, 33931; Not Investment-Related; 07/01/2014; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-08-25
S63 Uniform Securities Agent State Law Examination 1995-05-17
  • S66 Uniform Combined State Law Examination
    2000-08-25
  • S63 Uniform Securities Agent State Law Examination
    1995-05-17

View on SEC IAPD

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