Harold Jay Lauber

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2018-10-16

FL RA
APPROVED

Since 2018-10-16

Branch Locations

501 S Dakota Ave Ste 1, Tampa, FL 33606-2579 • United States

Naples, FL • United States

Disclosures

3 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 Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Herbert J. Sims & Co. Inc.	Naples	FL	07/2015	10/2018
Ameriprise Financial Services Inc	Tampa	FL	10/2018	03/2020
Ameriprise Financial Services, Llc	Tampa	FL	03/2020	Present

07/2015 → 10/2018

Herbert J. Sims & Co. Inc.

Naples, FL
10/2018 → 03/2020

Ameriprise Financial Services Inc

Tampa, FL
03/2020 → Present

Ameriprise Financial Services, Llc

Tampa, FL

Previous Registrations

2015-07-09 → 2018-10-17

Herbert J. Sims Capital Management, Inc.

Naples, FL

Naples, FL

Fairfield, CT

Boca Raton, FL
2007-10-09 → 2015-08-05

Rbc Capital Markets, Llc

Naples, FL
1997-04-01 → 2007-10-11

A. G. Edwards & Sons, Inc.

Naples, FL

Naples, FL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-11-07
S63	Uniform Securities Agent State Law Examination	1980-02-29

S65 Uniform Investment Adviser Law Examination

2007-11-07
S63 Uniform Securities Agent State Law Examination

1980-02-29

View on SEC IAPD

Current Employers

Ameriprise Financial Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

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