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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 2017-06-26
TX RA APPROVED 2017-06-16
  • GA RA
    APPROVED
    Since 2017-06-26
  • TX RA
    APPROVED
    Since 2017-06-16

Branch Locations

1401 Macy Dr, Roswell, GA 30076 • United States

Roswell, GA • 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
Edward D. Jones & Co., L.P. Roswell GA 02/1983 06/2017
Ameriprise Financial Services Inc Alpharetta GA 06/2017 03/2020
Ameriprise Financial Services, Llc Roswell GA 03/2020 Present
  • 02/1983 → 06/2017
    Edward D. Jones & Co., L.P.
    Roswell, GA
  • 06/2017 → 03/2020
    Ameriprise Financial Services Inc
    Alpharetta, GA
  • 03/2020 → Present
    Roswell, GA
Previous Registrations
Other Businesses

Real Estate Ownership; Sold Property this past week.; 1002 Macy DrRoswell, GA 30076, , Roswell, GA, 30076; Investment-Related; 06/01/2014. Business Ownership; The Bear and Cub, LLC; Owner; Real Estate; 505 Shelli Ln, , Roswsell, GA, 30075; Investment-Related; 06/01/2014; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; New York Life; Annuity interested party sold this product years ago while I was at Edward Jones.; Regular Address NYL Annuity Service Center P.O. Box 9859 Provide, ,; Not Investment-Related; 07/17/2017; 0 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-02-20
S63 Uniform Securities Agent State Law Examination 1983-04-19
  • S66 Uniform Combined State Law Examination
    2007-02-20
  • S63 Uniform Securities Agent State Law Examination
    1983-04-19

View on SEC IAPD

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