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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-09-18
MD RA APPROVED 2025-09-18
TX RA APPROVED 2025-09-18
TN RA APPROVED 2025-07-09
  • CT RA
    APPROVED
    Since 2025-09-18
  • MD RA
    APPROVED
    Since 2025-09-18
  • TX RA
    APPROVED
    Since 2025-09-18
  • TN RA
    APPROVED
    Since 2025-07-09

Branch Locations

Maryville, TN • United States

5850 Waterloo Rd Ste 200, Columbia, MD 21045 • 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. Minneapolis MN 07/2007 03/2020
Ameriprise Financial Services, Llc Minneapolis MN 03/2020 04/2025
Ameriprise Financial Services, Llc Columbia MD 06/2025 Present
Previous Registrations
Other Businesses

Other Business Activities; Pampered Chef; Retail home party business dealing in kitchen tools and sundries.; 335 Lavista Dr, , Maryville, TN, 37804; Not Investment-Related; 01/22/2026; 10 to 19 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-09-13
S63 Uniform Securities Agent State Law Examination 2007-08-10
  • S65 Uniform Investment Adviser Law Examination
    2025-09-13
  • S63 Uniform Securities Agent State Law Examination
    2007-08-10
Other Names
  • Catherine Diane Higgins
  • Catherine Diane Higgins
  • Catherine Diane Mcconkey
  • Catherine D Mcconkey

View on SEC IAPD

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