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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2015-05-18
  • MN RA
    APPROVED
    Since 2015-05-18

Branch Locations

901 3Rd Ave S, Minneapolis, MN 55402-3367 • United States

St Louis Park, MN • 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. Minneapolis MN 05/2015 03/2020
Ameriprise Financial Services, Llc Minneapolis MN 03/2020 Present
Previous Registrations
Other Businesses

Name of Activity: Volunteer Hospitality Lead - Local Organizing Committee; Date Activity Started/Modified/Ended: 10/17/2024; Type of Activity: Non-Profit, Other - Volunteer work planning cross country ski races; Role/Relationship: Other - Volunteer leader; Responsibilities: Responsible for volunteer headcount needs, coordinating schedules for volunteers and managing the volunteer check-in process.; Total Hours Per Month: 21 - 40; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No; --- END ---

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-05-09
S63 Uniform Securities Agent State Law Examination 2012-04-23
  • S65 Uniform Investment Adviser Law Examination
    2013-05-09
  • S63 Uniform Securities Agent State Law Examination
    2012-04-23
Other Names
  • Tracy Lee Edwardsen
  • Tracy Lee Gummere
  • Tracy Lee Gummere

View on SEC IAPD

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