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Ashley Roxanne Gaines

Ameriprise Financial Services, LLC

Shelton, CT

Stratford, CT

Glastonbury, CT

New Haven, CT

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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 2024-12-23
  • CT RA
    APPROVED
    Since 2024-12-23

Branch Locations

Shelton, CT • United States

6580 Main St Ryders Landing Ste 102, Stratford, CT 06614-1605 • United States

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

545 Long Wharf Dr Ste 501, New Haven, CT 06511 • 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
David Lerner Associates, Inc. Darien CT 10/2010 11/2024
Ameriprise Financial Services, Llc New Haven CT 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-06-28
S63 Uniform Securities Agent State Law Examination 2010-04-09
  • S65 Uniform Investment Adviser Law Examination
    2016-06-28
  • S63 Uniform Securities Agent State Law Examination
    2010-04-09
Other Names
  • Ashley Carreras Gaines

View on SEC IAPD

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