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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 2023-07-05
FL RA APPROVED 2015-12-11
OH RA APPROVED 1999-09-12
  • TX RA
    APPROVED
    Since 2023-07-05
  • FL RA
    APPROVED
    Since 2015-12-11
  • OH RA
    APPROVED
    Since 1999-09-12

Branch Locations

24 Cathedral Pl Ste 206, Saint Augustine, FL 32084 • United States

Saint Augustine, FL • 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. St. Augustine FL 09/2005 03/2020
Ameriprise Financial Services, Llc Saint Augustine FL 03/2020 Present
Other Businesses

Board of Directors; Saint Augustine Film Society Inc; Member Advisory Board; 733 Captains Dr, , St Augustine, FL, 32080-6157; Not Investment-Related; 10/16/2023; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-02-18
  • S63 Uniform Securities Agent State Law Examination
    1998-02-18
Designations
Other Names
  • Catherine L Smithson
  • Catherine L Tucker
  • Catherine Lapietra Stone

View on SEC IAPD

Other Firms

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Other Offices

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