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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 2006-09-28
WV RA APPROVED 1998-01-01
  • TX RA
    APPROVED_RES
    Since 2006-09-28
  • WV RA
    APPROVED
    Since 1998-01-01

Branch Locations

330 Association Dr, Charleston, WV 25311 • United States

3001 Murdoch Ave, Parkersburg, WV 26101 • 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. Charleston WV 09/2005 03/2020
Ameriprise Financial Services, Llc Charleston WV 03/2020 Present
Other Businesses

Business Ownership; M2 Partners, LLC; 50% owner and manager; LLC for purposes of office building ownership; 330 Association Drive, , Charleston, WV, 25311; Not Investment-Related; 10/07/2008; 1 to 9 hours per month; 1 to 9 during trading hours / M1 Partners, LLC; Owner; Property ownership of this building and the parking lot.; 3001 Murdoch Avenue, , Parkersburg, WV, 26101; Not Investment-Related; 12/16/2019; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; University of Charleston Financial Planning Advisory Committee; The Committee is comprised of 12-15 volunteer members who represent a variety of professionals representing various constituents in the financial planning and financial literacy community. The committee acts as an advisory group to the Dean and the Director of Financial Planning and Financial Literacy in the administration of the financial planning major in the School of Business & Leadership.; 2300 MacCorkle Avenue SE, , Charleston, WV, 25304; Not Investment-Related; 08/15/2019; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-02-15
S63 Uniform Securities Agent State Law Examination 1995-12-15
  • S65 Uniform Investment Adviser Law Examination
    1997-02-15
  • S63 Uniform Securities Agent State Law Examination
    1995-12-15

View on SEC IAPD

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