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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-10-10
TX RA APPROVED 2025-10-10
  • NY RA
    APPROVED
    Since 2025-10-10
  • TX RA
    APPROVED
    Since 2025-10-10

Branch Locations

Mattituck, NY • United States

1174 Veterans Memorial Hwy, Hauppauge, NY 11788 • United States

96 Main St, Westhampton Beach, NY 11978-2631 • 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
Ubs Financial Services Inc New York NY 06/2010 10/2025
Ameriprise Financial Services Llc Hauppauge NY 10/2025 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-11-17
S63 Uniform Securities Agent State Law Examination 2009-10-08
  • S65 Uniform Investment Adviser Law Examination
    2010-11-17
  • S63 Uniform Securities Agent State Law Examination
    2009-10-08
Designations

View on SEC IAPD

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