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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 2023-08-04
OH RA APPROVED 2012-04-18
  • TX RA
    APPROVED_RES
    Since 2023-08-04
  • OH RA
    APPROVED
    Since 2012-04-18

Branch Locations

10100 Innovation Dr Ste 350, Miamisburg, OH 45342 • United States

Waynesville, OH • 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. Dayton OH 04/2012 03/2020
Ameriprise Financial Services, Llc Miamisburg OH 03/2020 Present
Previous Registrations
  • 2005-07-06 → 2012-04-17
    Chase Investment Services Corp.
    Centerville, OH
    Chicago, IL
  • 2002-04-09 → 2005-07-06
    Banc One Securities Corporation
    Centerville, OH
Other Businesses

Real Estate Ownership; Multi-Family; 5411 - 5417 Dunmore DrDayton, OH 45459, ,; ; 04/13/2012. Business Ownership; Homestead Investment Management LLC; ; investment real estate; 7393 Foxdale DrWaynesville, OH 45068, ,; Not Investment-Related; 01/01/1999; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-08-09
S63 Uniform Securities Agent State Law Examination 1997-07-31
  • S66 Uniform Combined State Law Examination
    2000-08-09
  • S63 Uniform Securities Agent State Law Examination
    1997-07-31

View on SEC IAPD

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