Andrew D Harmon

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
KY	RA	APPROVED	2026-03-02
TX	RA	APPROVED	2016-12-21
OH	RA	APPROVED	2015-12-23

KY RA
APPROVED

Since 2026-03-02
TX RA
APPROVED

Since 2016-12-21
OH RA
APPROVED

Since 2015-12-23

Branch Locations

Bellevue, KY • United States

5905 E Galbraith Rd Ste 4200, Cincinnati, OH 45236-2375 • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Cincinnati	OH	12/2015	03/2020
Ameriprise Financial Services, Llc	Cincinnati	OH	03/2020	Present

12/2015 → 03/2020

Ameriprise Financial Services, Inc.

Cincinnati, OH
03/2020 → Present

Ameriprise Financial Services, Llc

Cincinnati, OH

Previous Registrations

2015-06-15 → 2016-03-21

Main Street Family Advisors, Inc.

Sharonville, OH

Other Businesses

Board of Directors; La Salle High School Advancement Commitee; Member; 3091 North Bend Road, , Cincinnati, OH, 45239; Not Investment-Related; 07/01/2025; 1 to 9 hours per month; 0 during trading hours / Sigma Chi Building Co.; Member; 6402 Katherine Manor Ct, , Hamilton, OH, 45011; Not Investment-Related; 05/17/2020; 1 to 9 hours per month; 0 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-02-25
S65	Uniform Investment Adviser Law Examination	2014-09-19

S66 Uniform Combined State Law Examination

2016-02-25
S65 Uniform Investment Adviser Law Examination

2014-09-19

Other Names

David Andrew Harmond
David Andrew Harmon
Drew Harmon
Andrew David Harmon

View on SEC IAPD