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Richard Stearns Alles

Ameriprise Financial Services, LLC

Newton, MA

Boston, MA

Weston, MA

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-02-08
TX RA APPROVED_RES 2024-02-02
  • NJ RA
    APPROVED
    Since 2024-02-08
  • TX RA
    APPROVED_RES
    Since 2024-02-02

Branch Locations

2221 Washington St Ste 202, Newton, MA 02462 • United States

60 State St, Suite 2100, Boston, MA 02109 • United States

Weston, MA • 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
Oppenheimer & Co. Inc. Boston MA 10/2003 02/2024
Ameriprise Financial Services Boston MA 02/2024 02/2024
Ameriprise Financial Services, Llc Boston MA 03/2020 03/2020
Ameriprise Financial Services, Llc. Boston MA 02/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-08-27
S63 Uniform Securities Agent State Law Examination 1983-03-30
  • S65 Uniform Investment Adviser Law Examination
    2016-08-27
  • S63 Uniform Securities Agent State Law Examination
    1983-03-30
Other Names
  • Richard Sterns Alles
  • Richard Stearns Alles

View on SEC IAPD

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