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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-05-20
  • IL RA
    APPROVED
    Since 2022-05-20

Branch Locations

Chicago, IL • United States

303 E Wacker Dr Ste 1575, Chicago, IL 60601 • 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
Epilepsy Foundation - North/Central Illinois, Iowa Rockford IL 11/2010 05/2022
E*Trade Securities Llc Chicago IL 01/2016 02/2020
E*Trade Capital Management Llc Chicago IL 01/2016 02/2020
E*Trade Securities Llc Chicago IL 02/2020 05/2022
E*Trade Capital Management Llc Chicago IL 02/2020 05/2022
Ameriprise Financial Services Chicago IL 05/2022 05/2022
Ameriprise Financial Services, Llc. Chicago IL 05/2022 Present
  • 11/2010 → 05/2022
    Epilepsy Foundation - North/Central Illinois, Iowa
    Rockford, IL
  • 01/2016 → 02/2020
    E*Trade Securities Llc
    Chicago, IL
  • 01/2016 → 02/2020
    E*Trade Capital Management Llc
    Chicago, IL
  • 02/2020 → 05/2022
    E*Trade Securities Llc
    Chicago, IL
  • 02/2020 → 05/2022
    E*Trade Capital Management Llc
    Chicago, IL
  • 05/2022 → 05/2022
    Ameriprise Financial Services
    Chicago, IL
  • 05/2022 → Present
    Chicago, IL
Previous Registrations
  • 2016-01-08 → 2022-06-09
    Harrisdirect Llc
    Chicago, IL
    Arlington, VA
    Chicago, IL
  • 2014-06-18 → 2016-01-04
    Lisle, IL
    Ann Arbor, MI
  • 2011-08-29 → 2012-07-23
    Lisle, IL
    Kansas City, MO
    New York, NY
  • 2011-03-16 → 2011-09-06
    Waddell & Reed
    Lisle, IL
Other Businesses

Real Estate Ownership; Multi-Family; 5541 E Lake St Unit F, , Lisle, IL, 60532; Not Investment-Related; 06/01/2016. Business Ownership; Realpha Capital; Manage rental properties and flips; Real Estate rental management; 201 E Chestnut Unit 24F, , Chicago, IL, 60601; Not Investment-Related; 08/01/2018; 0 hours per month; 1 to 9 during trading hours / Wendt for Health and Wealth; Owner; Manage Ameriprise Business; 201 E Chestnut St, #24F, Chicago, IL, 60611; Not Investment-Related; 08/01/2023; 0 hours per month; 0 during trading hours. Board of Directors; Epilepsy Foundation of Greater Chicago; Board Member; 17 N State St, Suite 650, Chicago, IL, 60602; Not Investment-Related; 03/01/2024; 1 to 9 hours per month; 0 during trading hours. Other Business Activities; Carthage College; Serve as co-chair on the President's Leadership Council. actively engage in advocacy, and volunteer leadership that provides a measurable outcome for the college. Attend quarterly meetings to help advancing the strategic goals of the college and the larger college community; 2001 Alford Park Drive, , Kenosha, WI, 53140; Not Investment-Related; 10/01/2022; 1 to 9 hours per month; 0 during trading hours / Medicare Insurance; Prior Medicare insurance sales.; 303 E Wacker Dr, Suite 1575, Chicago, IL, 60601; Not Investment-Related; 01/01/2016; 0 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-03-01
  • S66 Uniform Combined State Law Examination
    2011-03-01

View on SEC IAPD

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