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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-12-15
  • CT RA
    APPROVED
    Since 2022-12-15

Branch Locations

95 Glastonbury Blvd Ste 216, Glastonbury, CT 06033-4456 • United States

Deep River, CT • 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
Metlife Securities Inc Stamford CT 03/2012 03/2017
Massachusetts Mutual Life Insurance Company Guilford CT 07/2016 12/2022
Mml Investors Services, Llc Guilford CT 03/2017 12/2022
Ameriprise Financial Services Hartford CT 12/2022 12/2022
Ameriprise Financial Services, Llc Hartford CT 03/2020 03/2020
Ameriprise Financial Services, Llc. Hartford CT 12/2022 Present
Previous Registrations
Other Businesses

Business Ownership; Chequer Interiors LLC; VP title in name only. No duties, no roles, no time spent, and no financial benefit.; Interior Design; 16a Main Street, , Essex, CT, 6426; Not Investment-Related; 02/03/1995; 0 hours per month; 0 during trading hours. Other Business Activities; Windward Bay Condo Assoc; Serve on Investment committee of Windward Bay condo association.. Does not involve spending authorizations, vendor relationships or security transactions. The role is advisory in nature, only; 4888 Gulf of Mexico Dr., Castle Mgt Co, Longboat Key, FL, 34228; Not Investment-Related; 09/12/2023; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-01-23
S63 Uniform Securities Agent State Law Examination 2010-01-09
  • S65 Uniform Investment Adviser Law Examination
    2010-01-23
  • S63 Uniform Securities Agent State Law Examination
    2010-01-09
Other Names
  • Rick Hendee
  • Hendee Richardson

View on SEC IAPD

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