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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-06-06
KY RA APPROVED 2003-09-17
OH RA APPROVED 1999-10-15
  • TX RA
    APPROVED_RES
    Since 2019-06-06
  • KY RA
    APPROVED
    Since 2003-09-17
  • OH RA
    APPROVED
    Since 1999-10-15

Branch Locations

1251 Nilles Road Suite 1, Fairfield, OH 45014 • United States

Southgate, KY • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Cincinnati OH 08/1988 03/2020
Ameriprise Financial Services, Llc Fairfield OH 03/2020 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-05-10
  • S63 Uniform Securities Agent State Law Examination
    1991-05-10

View on SEC IAPD

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