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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 2006-12-01
NE RA APPROVED 1997-12-31
  • TX RA
    APPROVED_RES
    Since 2006-12-01
  • NE RA
    APPROVED
    Since 1997-12-31

Branch Locations

8535 Executive Woods Dr Ste 300, Lincoln, NE 68512 • United States

1935 North 120Th, Omaha, NE 68154 • 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. Lincoln NE 11/1980 03/2020
Ameriprise Financial Services, Llc Lincoln NE 03/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-07-31
S63 Uniform Securities Agent State Law Examination 1990-01-03
  • S65 Uniform Investment Adviser Law Examination
    1997-07-31
  • S63 Uniform Securities Agent State Law Examination
    1990-01-03

View on SEC IAPD

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