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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 2021-06-17
NY RA APPROVED 2021-04-16
  • TX RA
    APPROVED_RES
    Since 2021-06-17
  • NY RA
    APPROVED
    Since 2021-04-16

Branch Locations

1001 Franklin Ave Ste 302, Garden City, NY 11530 • United States

Fresh Meadows, NY • United States

Disclosures

2 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Mitchel Field NY 11/2012 03/2020
Ameriprise Financial Services, Llc Garden City NY 03/2020 Present
Other Businesses

Other Business Activities; Mishkan Hatorah; forward mail, paperwork to home office and checks are brought to the bank checks to the bank; 73-44 172nd, , Flushing, NY, 11366; Not Investment-Related; 12/01/2017; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-01-22
  • S63 Uniform Securities Agent State Law Examination
    1988-01-22
Other Names
  • Gabe Plaut

View on SEC IAPD

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