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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-03-21
NH RA APPROVED 2012-10-16
  • TX RA
    APPROVED_RES
    Since 2018-03-21
  • NH RA
    APPROVED
    Since 2012-10-16

Branch Locations

5 Bedford Farms Fl 3, Bedford, NH 03110-6531 • United States

Derry, NH • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Bedford NH 10/2012 03/2020
Ameriprise Financial Services, Llc Bedford NH 03/2020 Present
Previous Registrations
  • 2009-06-01 → 2012-10-25
    Middleton, MA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Middleton, MA
  • 2006-07-07 → 2007-04-02
    Morgan Stanley Dw Inc.
    Danvers, MA
    Danvers, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-03-24
S63 Uniform Securities Agent State Law Examination 1999-01-07
  • S65 Uniform Investment Adviser Law Examination
    1999-03-24
  • S63 Uniform Securities Agent State Law Examination
    1999-01-07
Other Names
  • Matt Elkin

View on SEC IAPD

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