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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2013-10-23
TX RA APPROVED_RES 2013-10-21
  • KS RA
    APPROVED
    Since 2013-10-23
  • TX RA
    APPROVED_RES
    Since 2013-10-21

Branch Locations

4200 W 115Th St Ste 200, Leawood, KS 66211-2729 • United States

Scottsdale, AZ • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Overland Park KS 10/2013 03/2020
Ameriprise Financial Services, Llc Leawood KS 03/2020 Present
Previous Registrations
  • 2002-01-02 → 2013-10-18
    Kestra Investment Services, Llc
    Shawnee, KS
Other Businesses

Board of Directors; Band of Angels; general board member, no title; 11890 W 135th St, , , Overland Park, KS, 66221; Not Investment-Related; 07/01/2024; 1 to 9 hours per month; 0 during trading hours. Other Business Activities; TEMPLE CONGREGATION B'NAI JEHUDAH; CHAIRMAN OF THE ENDOWMENT COMMITTEE; 12340 NALLOVERLAND PARK, KS 66211, ,; Investment-Related; 12/12/2018; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-01-20
S63 Uniform Securities Agent State Law Examination 1980-02-07
  • S65 Uniform Investment Adviser Law Examination
    1993-01-20
  • S63 Uniform Securities Agent State Law Examination
    1980-02-07
Other Names
  • Mike Zanders

View on SEC IAPD

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