Katherine Elizabeth Mumaw

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
VA	RA	APPROVED	2020-08-26

VA RA
APPROVED

Since 2020-08-26

Branch Locations

4801 Courthouse St Ste 305, Williamsburg, VA 23188-2678 • United States

4030 Quarles Ct, Harrisonburg, VA 22801-8716 • United States

Harrisonburg, VA • 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
Christopher Newport University	Newport News	VA	01/2015	05/2018
Ameriprise Financial	Harrisonburg	VA	06/2014	05/2018
Christopher Newport University	Newport News	VA	08/2014	05/2018
Ameriprise Financial Services, Inc	Harrisonburg	VA	05/2014	03/2020
Ameriprise Financial Services, Llc	Harrisonburg	VA	03/2020	Present

01/2015 → 05/2018

Christopher Newport University

Newport News, VA
06/2014 → 05/2018

Ameriprise Financial

Harrisonburg, VA
08/2014 → 05/2018

Christopher Newport University

Newport News, VA
05/2014 → 03/2020

Ameriprise Financial Services, Inc

Harrisonburg, VA
03/2020 → Present

Ameriprise Financial Services, Llc

Harrisonburg, VA

Other Businesses

Business Ownership; YGB Operations LLC; Co-owner; Manage Ameriprise Business; 4000 Legato Road, Suite 1100, Fairfax, VA, 22033; Not Investment-Related; 01/01/2025; 10 to 19 hours per month; 1 to 9 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-11-29

S66 Uniform Combined State Law Examination

2018-11-29