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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-16
TX RA APPROVED_RES 2010-01-07
  • NY RA
    APPROVED
    Since 2021-04-16
  • TX RA
    APPROVED_RES
    Since 2010-01-07

Branch Locations

100 Summit Lake Dr Ste 150, Valhalla, NY 10595 • United States

West Harrison, NY • 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. Valhalla NY 09/2005 03/2020
Ameriprise Financial Services, Llc Valhalla NY 03/2020 Present
Other Businesses

Real Estate Ownership; Hartsdale, New York; 50 East Hartsdale Ave, , Hartsdale, NY, 10530; Not Investment-Related; 12/01/1990.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-08-14
  • S63 Uniform Securities Agent State Law Examination
    1999-08-14
Designations

View on SEC IAPD

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