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Carrie Aurora Mcpherson

Ameriprise Financial Services, LLC

Providence, RI

North Scituate, RI

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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 2018-03-02
RI RA APPROVED 2018-03-01
  • TX RA
    APPROVED_RES
    Since 2018-03-02
  • RI RA
    APPROVED
    Since 2018-03-01

Branch Locations

1 Citizens Plz Ste 610, Providence, RI 02903-1344 • United States

North Scituate, RI • 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
Oppenheimer & Co. Inc. Providence RI 06/2008 02/2018
Ameriprise Financial Advisors Inc. Providence RI 02/2018 03/2020
Ameriprise Financial Services, Llc Providence RI 03/2020 Present
Previous Registrations
Other Businesses

Independent Insurance Brokering; Colonial Life; 08/21/2020; Group. Board of Directors; Board of Directors for Sojourner House; member; 386 Smith St, , Providence, RI, 02903; Investment-Related; 06/05/2024; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-09-16
S63 Uniform Securities Agent State Law Examination 2009-12-10
  • S65 Uniform Investment Adviser Law Examination
    2015-09-16
  • S63 Uniform Securities Agent State Law Examination
    2009-12-10
Other Names
  • Carrie A Windle
  • Carrie A Mcpherson
  • Carrie Aurora Mcpherson
  • Carrie Mcpherson

View on SEC IAPD

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