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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 2019-06-24
  • TX RA
    APPROVED_RES
    Since 2019-06-24

Branch Locations

324 Grove St, Worcester, MA 01605 • United States

Shrewsbury, MA • United States

Disclosures

1 disclosure category 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Worcester MA 09/2005 03/2020
Ameriprise Financial Services, Llc Worcester MA 03/2020 Present
Other Businesses

Business Ownership; 324 Grove Advisors LLC; Managing Member; LLC is used solely to collect rent and pay expenses.; 324 Grove St., , Worcester, MA, 01605; Not Investment-Related; 05/09/2011; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1980-05-27
  • S63 Uniform Securities Agent State Law Examination
    1980-05-27

View on SEC IAPD

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