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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2006-09-29 |
| IL | RA | APPROVED | 1997-12-04 |
Branch Locations
7160 Argus Dr Ste 102, Rockford, IL 61107-5809 • United States
Rockford, IL • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Rockford | IL | 09/2005 | 03/2020 |
| Ameriprise Financial Services, Llc | Rockford | IL | 03/2020 | Present |
Outside Employment; Engen Legacy LLC; Employee consultant; Financial Advisory services; 6435 Main St, Suite 160, Woodridge, IL, 60517; Investment-Related; 07/12/2023; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 1981-03-27 |
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