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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 2009-10-05
  • TX RA
    APPROVED
    Since 2009-10-05

Branch Locations

5151 San Felipe St Ste 2100, Houston, TX 77056-3727 • United States

Houston, TX • 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. Houston TX 10/2009 03/2020
Ameriprise Financial Services, Inc. Houston TX 10/2009 03/2020
Ameriprise Financial Services, Llc Houston TX 03/2020 Present
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Houston, TX
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Houston, TX
  • 03/2020 → Present
    Houston, TX
Previous Registrations
  • 2003-06-30 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Houston, TX
    Houston, TX
  • 2002-10-03 → 2003-07-10
    Houston, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-10-02
S63 Uniform Securities Agent State Law Examination 1995-08-28
  • S65 Uniform Investment Adviser Law Examination
    2000-10-02
  • S63 Uniform Securities Agent State Law Examination
    1995-08-28

View on SEC IAPD

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