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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-12-06 |
| TX | RA | APPROVED_RES | 2010-11-04 |
Branch Locations
1673 County Road 39, Southampton, NY 11968-5298 • United States
67 Main St Ste 1, East Hampton, NY 11937 • United States
Remsenburg, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Southampton | NY | 09/2005 | 03/2020 |
| Ameriprise Financial Services, Llc | Southampton | NY | 03/2020 | Present |
Real Estate Ownership; Single Family; 865 1st Ave. NY NY Condo 15D, ,; Investment-Related; 07/01/2014 / Commercial; 1673 County Road 39, ,; Investment-Related; 10/01/2014 / Single Family; 28 Shrubland Road, ,; Investment-Related; 10/01/2014 / Single Family; 7,8,10 Piazza Roma , , Montescaglioso, Matera, , ITA; Not Investment-Related; 11/01/2025. Business Ownership; Southampton Business Group LLC; ; Financial Planning; 1673 County Road 39, Suite 201A Southampton, NY 11968, ,; ; 11/15/2012; 1 to 9 hours per month; / Sebonack Cottage LLC; ; Real Estate; 28 Shrubland Road Southampton, NY 11968, ,; Investment-Related; 10/01/2014; 1 to 9 hours per month; 0 during trading hours / San Rocco Hospitality Group; Owner; Real Estate; 8 Piazza Roma, , Montescaglioso, Matera, , ITA; Investment-Related; 12/15/2025; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Southampton Business Alliance; Board Member; PO Box 788, , Westhampton Beach, NY, 11978; Not Investment-Related; 01/15/2025; 1 to 9 hours per month; 0 during trading hours / Mondi Lucani APS; Honorary Presidency of Mondi Lucani APS; Coros Republico 10, , Montescaglioso, Matera, , ITA; Not Investment-Related; 02/09/2026; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; The Three Cords: A Business Owner's Guide; Book being published (Rocco A. Carriero as author); 1673 CR 39, Southampton NY 11968 or 9 Halsey Lane, Remsenburg, ,; Not Investment-Related; 07/01/2017; 1 to 9 hours per month; 1 to 9 during trading hours / Paul The Tailor BLD Inc LLC; Property Manager for Mother's Commercial Building; 61 N Ocean Ave, , Patchogue, NY, 11772; Investment-Related; 09/01/2020; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-29 |
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