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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-16
  • NY RA
    APPROVED
    Since 2021-04-16

Branch Locations

122 E 42Nd St Ste 2215, New York, NY 10168 • United States

New York, NY • 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
Ameriprise Financial Services, Inc. New York NY 09/2005 03/2020
Ameriprise Financial Services, Llc New York NY 03/2020 Present
Other Businesses

Business Ownership; Advisors on Lex; ; Other Ameriprise Financial Advisors and myself forme a LLC so we could Rent the office space we are currently in.; 122 East 42nd Street2215New York, NY. 10168, ,; ; ; 0 hours per month; .

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-06-05
  • S63 Uniform Securities Agent State Law Examination
    1995-06-05

View on SEC IAPD

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