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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 2006-10-05
AR RA APPROVED 1992-10-09
  • TX RA
    APPROVED_RES
    Since 2006-10-05
  • AR RA
    APPROVED
    Since 1992-10-09

Branch Locations

22 Rahling Circle, Little Rock, AR 72223 • United States

Little Rock, AR • 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. Little Rock AR 09/2005 03/2020
Ameriprise Financial Services, Llc Little Rock AR 03/2020 Present
Other Businesses

Real Estate Ownership; Commercial; 22 Rahling CircleLittle Rock, AR 72223, ,; Not Investment-Related; 01/01/2002. Business Ownership; Rahling Realty Investors Group, LLC; ; Partial ownership with other advisors of advisor office building.; 22 Rahling CircleLittle Rock, AR 72223, ,; ; 01/01/2002; 1 to 9 hours per month; .

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1981-06-19
  • S63 Uniform Securities Agent State Law Examination
    1981-06-19

View on SEC IAPD

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