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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 2025-09-18
IL RA APPROVED 2023-07-10
  • TX RA
    APPROVED_RES
    Since 2025-09-18
  • IL RA
    APPROVED
    Since 2023-07-10

Branch Locations

619 W Main St, St Charles, IL 60174 • United States

Elburn, IL • 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 St. Charles IL 11/2013 03/2020
Ameriprise Financial Services, Llc St Charles IL 03/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-07-05
S63 Uniform Securities Agent State Law Examination 2023-04-26
  • S65 Uniform Investment Adviser Law Examination
    2023-07-05
  • S63 Uniform Securities Agent State Law Examination
    2023-04-26
Other Names
  • Lisa Marie Buff

View on SEC IAPD

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