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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 2023-01-24
MS RA APPROVED 2023-01-22
KS RA APPROVED 2015-03-02
  • TX RA
    APPROVED_RES
    Since 2023-01-24
  • MS RA
    APPROVED
    Since 2023-01-22
  • KS RA
    APPROVED
    Since 2015-03-02

Branch Locations

2401 E 13Th St, Hays, KS 67601-2663 • United States

Oxford, MS • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Hays KS 02/2015 03/2020
Ameriprise Financial Services, Llc Tupelo MS 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 1058 Nuttall Oak Dr, , Oxford, MS, 38655; Not Investment-Related; 10/31/2025. Board of Directors; Kansas State Treasurer; Board Member; 900 SW Jackson St #201, , Topeka, KS, 66612; Investment-Related; 05/27/2020; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-02-19
  • S66 Uniform Combined State Law Examination
    2015-02-19

View on SEC IAPD

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