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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 2016-12-13
FL RA APPROVED 2016-12-08
  • TX RA
    APPROVED_RES
    Since 2016-12-13
  • FL RA
    APPROVED
    Since 2016-12-08

Branch Locations

9350 S Dixie Hwy Ste 1410, Miami, FL 33156-2944 • United States

Miami, FL • 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 No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Morgan Stanley & Co., Incorporated Miami FL 04/2007 11/2016
Morgan Stanley Smith Barney Miami FL 06/2009 11/2016
Morgan Stanley Private Bank, National Association New York NY 01/2015 11/2016
Ameriprise Financial Services, Inc. Coral Gables FL 12/2016 03/2020
Ameriprise Financial Services, Llc Miami FL 03/2020 Present
  • 04/2007 → 11/2016
    Morgan Stanley & Co., Incorporated
    Miami, FL
  • 06/2009 → 11/2016
    Morgan Stanley Smith Barney
    Miami, FL
  • 01/2015 → 11/2016
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 12/2016 → 03/2020
    Ameriprise Financial Services, Inc.
    Coral Gables, FL
  • 03/2020 → Present
    Miami, FL
Previous Registrations
  • 2009-06-01 → 2016-11-23
    Miami, FL
    Miami, FL
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Miami, FL
  • 2001-03-16 → 2007-04-02
    Morgan Stanley Dw Inc.
    Miami, FL
    Miami, FL
Other Businesses

Business Ownership; Starr Blum Holdings LLC; ; Holding company; 4000 Ponce de Leon Blvd Suite 470 Coral Gables Florida 33146, ,; Not Investment-Related; 12/01/2016; 0 hours per month; 0 during trading hours / StarrShip Enterprises,LLC; ; holding company; 4000 Ponce de Leon Blvd Suite 470 Coral Gables Florida 33146, ,; Not Investment-Related; 12/01/2016; 0 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-03-06
S63 Uniform Securities Agent State Law Examination 1986-06-18
  • S65 Uniform Investment Adviser Law Examination
    1996-03-06
  • S63 Uniform Securities Agent State Law Examination
    1986-06-18

View on SEC IAPD

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