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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2008-08-12
  • IA RA
    APPROVED
    Since 2008-08-12

Branch Locations

1400 Central Ave, Fort Dodge, IA 50501 • United States

Somers, IA • 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. Fort Dodge IA 07/2008 03/2020
Ameriprise Financial Services, Llc Fort Dodge IA 03/2020 Present
Previous Registrations
  • 2007-03-30 → 2008-07-21
    Manson, IA
    St Louis, MO
Other Businesses

Board of Directors; Knierim City council; Council Member; PO Box 84, , Knierim, IA, 50552; Not Investment-Related; 11/25/2024; 1 to 9 hours per month; 0 during trading hours. Outside Employment; FISH2O; AFA - member; ; 1400 Central Ave, , Fort Dodge, IA, 50501; Not Investment-Related; 01/01/2019; 60 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-26
S63 Uniform Securities Agent State Law Examination 2006-08-18
  • S66 Uniform Combined State Law Examination
    2007-03-26
  • S63 Uniform Securities Agent State Law Examination
    2006-08-18
Other Names
  • Douglas J Marine

View on SEC IAPD

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