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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-06-09 |
| CT | RA | APPROVED | 2023-11-29 |
Branch Locations
191 Main St, Old Saybrook, CT 06475 • United States
250 State St Unit E1, North Haven, CT 06473-2182 • United States
30 Waterside Dr Ste 302, Farmington, CT 06032 • United States
Clinton, CT • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Essex Financial Services Inc. | Essex | CT | 09/2013 | 04/2018 |
| Citizens Securities, Inc | East Lyme | CT | 04/2018 | 10/2021 |
| Ameriprise Financial Services, Llc | Mystic | CT | 10/2021 | 11/2023 |
| Ameriprise Financial Services, Llc | North Haven | CT | 11/2023 | Present |
Business Ownership; EJM CONSULTING, LLC; Ownership of business practice/entity; Business specifically for Ameriprise practice/activities; 16 HOUPERTS WAY, , Clinton, CT, 6413; Investment-Related; 06/01/2023; 60 hours per month; 20 to 39 during trading hours. Outside Employment; EJM CONSULTING, LLC; Owner; Manage advisory business; 16 Houperts Way, , Clinton, CT, 06413; Investment-Related; 06/01/2023; 60 hours per month; 20 to 39 during trading hours / RAB PROPERTIES LLC; CONSULTANT FOR BUSINESS DEVELOPMENT; Manage advisory business; 250 STATE STREET, UNIT E1, NORTH HAVEN, CT, 06473; Investment-Related; 01/01/2026; 10 to 19 hours per month; 10 to 19 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-06-11 |
| S63 | Uniform Securities Agent State Law Examination | 2012-04-07 |
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