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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2003-11-24
  • PA RA
    APPROVED
    Since 2003-11-24

Branch Locations

1555 Brookside Road, Wescosville, PA 18106 • United States

Breinigsville, PA • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Wescosville PA 09/2005 03/2020
Ameriprise Financial Services, Llc Wescosville PA 03/2020 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-11-19
S63 Uniform Securities Agent State Law Examination 1996-03-13
  • S66 Uniform Combined State Law Examination
    2003-11-19
  • S63 Uniform Securities Agent State Law Examination
    1996-03-13
Other Names
  • Luis Rivera
  • Lou Ramon Rivera

View on SEC IAPD

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