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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2021-10-07
  • PA RA
    APPROVED
    Since 2021-10-07

Branch Locations

5100 W Tilghman St Ste 211, Allentown, PA 18104 • United States

Conshohocken, PA • 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, Llc Allentown PA 01/2020 Present
Tom James Company Greensboro NC 10/2019 12/2019
Blakely Financial, Commonwealth Financial High Point NC 09/2018 05/2019
High Point University High Point NC 08/2015 05/2019
Ameriprise Financial Services Allentown PA 06/2014 06/2018
Unemployed Allentown PA 05/2019 10/2019
Ronetco Ledgewood NJ 06/2018 08/2018
  • 01/2020 → Present
    Allentown, PA
  • 10/2019 → 12/2019
    Tom James Company
    Greensboro, NC
  • 09/2018 → 05/2019
    Blakely Financial, Commonwealth Financial
    High Point, NC
  • 08/2015 → 05/2019
    High Point University
    High Point, NC
  • 06/2014 → 06/2018
    Ameriprise Financial Services
    Allentown, PA
  • 05/2019 → 10/2019
    Unemployed
    Allentown, PA
  • 06/2018 → 08/2018
    Ronetco
    Ledgewood, NJ
Other Businesses

Board of Directors; Jerry Zimmerman Memorial Chapter Board; Treasurer; 3335 Levans ROad, , Coplay, PA, 18037; Not Investment-Related; 03/01/2024; 1 to 9 hours per month; 0 during trading hours / Baum School of Art; trustee; 510 Linden St, , Allentown, PA, 18101; Investment-Related; 01/01/2026; 1 to 9 hours per month; 0 during trading hours. Outside Employment; RIME Associates, LLC; Provide support to advisors across normal activities of daily business.; Salary for non-related GDC compensation.; 5100 W Tilghman St, Ste 211, Allentown, PA, 18104; Investment-Related; 02/03/2020; 40 to 59 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-02-26
  • S66 Uniform Combined State Law Examination
    2021-02-26
Other Names
  • David Richards

View on SEC IAPD

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