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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 2018-07-23
KY RA APPROVED 2015-06-18
  • TX RA
    APPROVED_RES
    Since 2018-07-23
  • KY RA
    APPROVED
    Since 2015-06-18

Branch Locations

9750 Ormsby Station Rd Ste 300, Louisville, KY 40223 • United States

9405 Mill Brook Rd Ste 101, Louisville, KY 40223 • 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
Ameriprise Financial Services, Inc. Louisville KY 06/2015 03/2020
Ameriprise Financial Services, Llc Louisville KY 03/2020 Present
Previous Registrations
  • 2014-06-17 → 2015-06-05
    Securities America Advisors, Inc.
    Louisville, KY
Other Businesses

Business Ownership; JCEC Services LLC; Owner; Real Estate; 7100 Chippenham Road, , Louisville, KY, 40222; Not Investment-Related; 04/20/2024; 1 to 9 hours per month; 0 during trading hours / JPS Services, LLC; Owner; Manage Ameriprise Business; 9405 Mill Brook Road, Ste 101, Louisville, KY, 40223; Investment-Related; 12/07/2023; 1 to 9 hours per month; 1 to 9 during trading hours / CCC1989 LLC; Co-owner; LLC legal entity to manage Ameriprise practice; 9405 Mill Brook Road Suite 101, , Louisville, KY, 40223; Investment-Related; 01/01/2024; 40 to 59 hours per month; 40 to 59 during trading hours. Board of Directors; Bellarmine University Alumni Board; Alumni Board Member; 2001 Newburg Road, , Louisville, KY, 40205; Not Investment-Related; 07/26/2023; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; JPS Services, LLC; Owner; Manage advisory business; 9405 Mill Brook Road, Ste 101, Louisville, KY, 40223; Investment-Related; 12/07/2023; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; Freelance writing; writing article to local and national publications for review and potential publishing; 7100 Chippenham Road Louisville, KY 40222, ,; Not Investment-Related; 12/01/2016; 1 to 9 hours per month; 0 during trading hours / Volunteer Firefighter; Volunteering for local neighborhood fire department; 240 Sears Avenue, , Louisville, KY, 40207; Not Investment-Related; 10/07/2022; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-05-23
  • S66 Uniform Combined State Law Examination
    2014-05-23
Other Names
  • Jonathan P Smith
  • Jonathan Patrick Smith

View on SEC IAPD

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