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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 2006-09-29
PA RA APPROVED 2003-10-14
  • TX RA
    APPROVED_RES
    Since 2006-09-29
  • PA RA
    APPROVED
    Since 2003-10-14

Branch Locations

5 E Germantown Pike, Plymouth Meeting, PA 19462-1539 • United States

15 E Germantown Pike, Plymouth Meeting, PA 19462 • United States

Wayne, PA • 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. Plymouth Meeting PA 09/2005 03/2020
Ameriprise Financial Services, Llc Plymouth Meeting PA 03/2020 Present
Other Businesses

Business Ownership; Ashford Wealth Advisors LLC; ; A legal entity set up to provide payroll for our financial planning practice.; 5 East Germanton PikePlymouth Meeting PA 19462, ,; Not Investment-Related; 06/14/2016; 1 to 9 hours per month; 1 to 9 during trading hours / Ashford Consulting LLC; ; An LLC set up to own the real estate my financial planning practice occupies. No other activities.; 5East Germantown PikePlymouth Meeting PA 19462, ,; Not Investment-Related; 10/16/2015; 1 to 9 hours per month; 1 to 9 during trading hours / Swim Dundalk LLC; none; a swim school for children; 1581 Merritt Boulevard, , Dundalk, MD, 21222; Not Investment-Related; 03/30/2023; 0 hours per month; 0 during trading hours / Swim Cockeysville, LLC; Co-owner; a learn to swim school for children; 9970 york road, , Cockeysville, MD, 21030; Not Investment-Related; 02/20/2025; 0 hours per month; 0 during trading hours. Board of Directors; Radnor Valley Country Club; Treasurer; 555 Sproul Road, , Radnor, PA, 19087; Not Investment-Related; 02/05/2020; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-10-02
S63 Uniform Securities Agent State Law Examination 1995-10-24
  • S66 Uniform Combined State Law Examination
    2003-10-02
  • S63 Uniform Securities Agent State Law Examination
    1995-10-24
Other Names
  • Ari Marc Frazer

View on SEC IAPD

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