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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2024-09-12
TX RA APPROVED 2013-02-14
NC RA APPROVED 2011-08-08
  • GA RA
    APPROVED
    Since 2024-09-12
  • TX RA
    APPROVED
    Since 2013-02-14
  • NC RA
    APPROVED
    Since 2011-08-08

Branch Locations

13739 Steele Creek Rd Unit 200, Charlotte, NC 28273 • United States

Charlotte, NC • 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. Charlotte NC 07/2011 03/2020
Ameriprise Financial Services, Llc Charlotte NC 03/2020 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-11-05
S63 Uniform Securities Agent State Law Examination 1983-03-04
  • S65 Uniform Investment Adviser Law Examination
    1992-11-05
  • S63 Uniform Securities Agent State Law Examination
    1983-03-04
Other Names
  • Jim Shoemaker

View on SEC IAPD

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