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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-16 |
| TX | RA | APPROVED_RES | 2018-06-18 |
Branch Locations
43 S Broad St, Norwich, NY 13815 • United States
Norwich, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Norwich | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Norwich | NY | 11/2016 | 03/2018 |
| Ameriprise Financial Services Inc | Norwich | NY | 06/2018 | 03/2020 |
| Ameriprise Financial Services, Llc | Norwich | NY | 03/2020 | Present |
Board of Directors; greater norwuch foundation; trustee; NBT BANKNorwich NY, ,; Not Investment-Related; 07/01/2016; 1 to 9 hours per month; 0 during trading hours / Cook Foundation; trustee; NBT BANKNorwich NY, ,; Not Investment-Related; 07/01/2003; 1 to 9 hours per month; 0 during trading hours / Roger Follett Foundation; President; 35 W Main StNorwich NY 13815, ,; Not Investment-Related; 01/01/1996; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-14 |
| S63 | Uniform Securities Agent State Law Examination | 1979-11-01 |
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