Susan Marie Dowling

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2024-05-24
TX	RA	APPROVED	2024-05-24

CT RA
APPROVED

Since 2024-05-24
TX RA
APPROVED

Since 2024-05-24

Branch Locations

Groton, CT • United States

205 Old Boston Post Rd, Old Saybrook, CT 06475 • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	New London	CT	09/1983	05/2024
Ameriprise Financial Services Llc	Old Saybrook	CT	05/2024	Present

09/1983 → 05/2024

Ubs Financial Services Inc.

New London, CT
05/2024 → Present

Ameriprise Financial Services Llc

Old Saybrook, CT

Previous Registrations

1991-09-19 → 2024-06-14

Ubs Financial Services Inc.

New London, CT

New London, CT

Other Businesses

Board of Directors; Williams School Board of Trustees; Board Member; 182 Mohegan Drive, , New London, CT, 06320; Not Investment-Related; 06/01/2020; 1 to 9 hours per month; 0 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-07-13
S63	Uniform Securities Agent State Law Examination	1983-12-02

S65 Uniform Investment Adviser Law Examination

1992-07-13
S63 Uniform Securities Agent State Law Examination

1983-12-02

Designations

Other Names

Susan Marie Dimartino
Susan Marie Dowling
Susan M. Marie Dowling

View on SEC IAPD