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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2019-06-17 |
Branch Locations
2507 Post Rd Fl 3, Southport, CT 06890-1259 • United States
Weston, CT • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc | Stamford | CT | 02/2009 | 06/2019 |
| Ameriprise Financial Services Inc | Southport | CT | 06/2019 | 03/2020 |
| Ameriprise Financial Services, Llc | Southport | CT | 03/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-06-07 |
| S65 | Uniform Investment Adviser Law Examination | 1996-06-07 |
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