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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2019-07-08
  • PA RA
    APPROVED
    Since 2019-07-08

Branch Locations

258 Frye Farm Rd, Greensburg, PA 15601 • United States

Latrobe, PA • 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
Pruco Securities Llc Northern Cambria PA 02/2010 07/2019
The Prudential Insurance Company Of America Northern Cambria PA 02/2010 07/2019
Ameriprise Financial Services Inc Monroeville PA 07/2019 03/2020
Ameriprise Financial Services, Llc Greensburg PA 03/2020 Present
  • 02/2010 → 07/2019
    Northern Cambria, PA
  • 02/2010 → 07/2019
    The Prudential Insurance Company Of America
    Northern Cambria, PA
  • 07/2019 → 03/2020
    Ameriprise Financial Services Inc
    Monroeville, PA
  • 03/2020 → Present
    Greensburg, PA
Previous Registrations
Other Businesses

Independent Insurance Brokering; The Principal; 06/01/2017; / Assurity; 02/01/2011; Disability Income. Outside Employment; Outside Employment; ECKL LLC; Other; 350 Red Fox Lane, , Ligonier, PA, 15658; Investment-Related; 07/09/2019; 40 to 59 during trading hours; 40 to 59 hours per month. Other Business Activities; Occasional Preaching; Occasionally filling as an ordained minister for pastors who require a substitute preacher for Sunday services.; Various, PA, , ** not provided **, N/A, 00000; Not Investment-Related; 07/10/2019; 0 during trading hours; 1 to 9 hours per month / Published Author; Self-published a book on religious topic that is available for purchase on Amazon.com; 311 Walnut Street, , Latrobe, PA, 15650; Not Investment-Related; 05/07/2007; 0 during trading hours; 0 hours per month.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-12-14
S63 Uniform Securities Agent State Law Examination 2010-02-24
  • S65 Uniform Investment Adviser Law Examination
    2015-12-14
  • S63 Uniform Securities Agent State Law Examination
    2010-02-24
Other Names
  • Douglas Walter Comin
  • Douglas W Comin

View on SEC IAPD

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