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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2011-10-21
  • NC RA
    APPROVED
    Since 2011-10-21

Branch Locations

3600 Glenwood Ave Ste 130, Raleigh, NC 27612 • United States

Durham, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Durham NC 10/2011 03/2020
Ameriprise Financial Services, Llc Raleigh NC 03/2020 Present
Previous Registrations
Other Businesses

Real Estate Ownership; Lot/Land; Roan Vista, Roan Mt, TN, ,; ; 01/28/2006 / Lot/Land; Cloudland Ridge, Roan Mt, TN, ,; ; 01/28/2006 / Lot/Land; Chapel Ridge, Pittsboro, NC, ,; ; 01/28/2006 / Lot/Land; Hampton Creek, Roan Mountain, TN, ,; ; 01/28/2006.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-09-18
S63 Uniform Securities Agent State Law Examination 1980-05-12
  • S65 Uniform Investment Adviser Law Examination
    1991-09-18
  • S63 Uniform Securities Agent State Law Examination
    1980-05-12

View on SEC IAPD

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