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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 2006-10-05
MO RA APPROVED 1995-10-31
  • TX RA
    APPROVED_RES
    Since 2006-10-05
  • MO RA
    APPROVED
    Since 1995-10-31

Branch Locations

2609B E Sunshine St, Springfield, MO 65804 • United States

207 W 3Rd St, Carthage, MO 64836 • United States

Great Southern Finanical Svcs 1342 E Kingsley St Ste E, Springfield, MO 65804 • United States

Springfield, MO • 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. Springfield MO 09/2005 03/2020
Ameriprise Financial Services Llc Springfield MO 07/1983 Present
Other Businesses

Real Estate Ownership; This property is where I have my Ameriprise Financial office.; 1342 E. Kingsley, Suite E & A Springfield, MO 65804, ,; Not Investment-Related; 02/01/2003. Business Ownership; RSS, LLC; ; I co-own my office real estate in the LLC; 1342 E. Kingsley, Ste. E: Springfield, MO 65804, ,; ; ; 0 hours per month; / PMA Sunshine, LLC; Great Southern Bank rand Ameriprise relationship; Manage Ameriprise Business; 1342 E. Kingsley, Ste. E; Springfield, MO 65804, , Springfield, MO, 65804; Not Investment-Related; 03/01/2008; 1 to 9 hours per month; 1 to 9 during trading hours / Penney LLC; my wife Janice is the managing member; I do very little, from my business account I pay rent to the LLC; Real Estate; 1342 E East KingsleySpringfield, MO 65804, ,; Not Investment-Related; 02/23/2019; 1 to 9 hours per month; 0 during trading hours. Board of Directors; Pearson Pointe Subdivision; President; 779 S Hickory Terrace, , Springfield, MO, 65809; Not Investment-Related; 02/01/2024; 1 to 9 hours per month; 0 during trading hours. Other Business Activities; expert witness; Bruce Galloway, an attorney, ask me to consult with him on a case. Financial planning case; his phone number is 417.582.2690; 107 N 2nd St, , , Ozark , MO, 65721; Not Investment-Related; 04/10/2024; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-09-10
S63 Uniform Securities Agent State Law Examination 1983-06-20
  • S65 Uniform Investment Adviser Law Examination
    1993-09-10
  • S63 Uniform Securities Agent State Law Examination
    1983-06-20
Other Names
  • Ron C (Jr) Penney

View on SEC IAPD

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