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Thomas Malcolm Rogers

Ameriprise Financial Services, LLC

Cleveland, OH

Canfield, OH

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2021-09-13
TX RA APPROVED_RES 2016-12-01
OH RA APPROVED 2013-10-11
  • GA RA
    APPROVED
    Since 2021-09-13
  • TX RA
    APPROVED_RES
    Since 2016-12-01
  • OH RA
    APPROVED
    Since 2013-10-11

Branch Locations

22901 Millcreek Blvd Ste 375, Cleveland, OH 44122 • United States

Canfield, OH • 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. Cleveland OH 10/2013 03/2020
Ameriprise Financial Services, Llc Cleveland OH 03/2020 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-08-23
S63 Uniform Securities Agent State Law Examination 2007-05-08
  • S65 Uniform Investment Adviser Law Examination
    2010-08-23
  • S63 Uniform Securities Agent State Law Examination
    2007-05-08
Other Names
  • Thomas M Rogers

View on SEC IAPD

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