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Kristen Tharp

Ameriprise Financial Services, LLC

Enid, OK

Pleasant Plains, AR

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2021-09-21
  • AR RA
    APPROVED
    Since 2021-09-21

Branch Locations

2411 Heritage Trl Ste 5, Enid, OK 73703 • United States

Pleasant Plains, AR • 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
First Allied Securities, Inc. San Diego CA 06/2006 05/2021
Cetera Investment Advisers Llc Schaumburg IL 04/2021 05/2021
Ameriprise Financial Services, Llc Batesville AR 08/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-08-12
S63 Uniform Securities Agent State Law Examination 2008-11-20
  • S66 Uniform Combined State Law Examination
    2010-08-12
  • S63 Uniform Securities Agent State Law Examination
    2008-11-20
Other Names
  • Kristen Michaelia Limbaugh
  • Kristen Michaelia Limbaugh
  • Kristen Michaelia Tharp

View on SEC IAPD

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