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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-12-12
TX RA APPROVED 2014-07-25
MI RA APPROVED 2014-05-28
  • FL RA
    APPROVED
    Since 2023-12-12
  • TX RA
    APPROVED
    Since 2014-07-25
  • MI RA
    APPROVED
    Since 2014-05-28

Branch Locations

39533 Woodward Ave Ste 150, Bloomfield Hills, MI 48304 • United States

Sarasota, FL • United States

1819 Main St Ste 1002 10Th Floor, Sarasota, FL 34236 • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Farmington Hills MI 11/2012 03/2020
Ameriprise Financial Services, Llc Bloomfield Hills MI 03/2020 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-03-04
  • S66 Uniform Combined State Law Examination
    2014-03-04
Other Names
  • Nicole Stempien

View on SEC IAPD

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