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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VT RA APPROVED 2021-08-06
NY RA APPROVED 2021-04-16
TX RA APPROVED 2015-01-21
  • VT RA
    APPROVED
    Since 2021-08-06
  • NY RA
    APPROVED
    Since 2021-04-16
  • TX RA
    APPROVED
    Since 2015-01-21

Branch Locations

43 Broadway Ste 2-8, Saranac Lake, NY 12983 • United States

35 Railroad Row Ste 409, White River Junction, VT 05001 • United States

South Royalton, VT • 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. Austin TX 01/2015 03/2020
Ameriprise Financial Services, Llc Saranac Lake NY 03/2020 Present
Previous Registrations
  • 2014-06-10 → 2015-01-29
    Waddell & Reed
    Austin, TX
Other Businesses

Business Ownership; Rancho Burrito Inc.; to pay staff and lease office space; Consulting; 43 Broadway Suite 2-8, , Saranac Lake, NY, 12983; Not Investment-Related; 06/06/2022; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Rancho Burrito Inc.; President - Purchasing Office Supplies, Paying staff and rent.; ; 43 Broadway 2-8, , Saranac Lake, NY, 12983; Not Investment-Related; 06/06/2022; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-06-10
S63 Uniform Securities Agent State Law Examination 2014-05-28
  • S65 Uniform Investment Adviser Law Examination
    2014-06-10
  • S63 Uniform Securities Agent State Law Examination
    2014-05-28

View on SEC IAPD

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