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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 2011-09-09
PA RA APPROVED 2003-08-15
OH RA APPROVED 1999-09-19
  • TX RA
    APPROVED_RES
    Since 2011-09-09
  • PA RA
    APPROVED
    Since 2003-08-15
  • OH RA
    APPROVED
    Since 1999-09-19

Branch Locations

176 Enclave Dr, New Castle, PA 16105 • United States

New Castle, PA • 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. New Castle PA 09/2005 03/2020
Ameriprise Financial Services, Llc New Castle PA 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 233 E Englewood Ave, , New Castle, PA, 16105; Not Investment-Related; 05/01/2000 / Single Family; 728 Vogan St, , New Castle, PA, 16101; Not Investment-Related; 02/01/2024. Board of Directors; Cray Family Youth Services; 1 of 9 Board Members; 44 South Beaver St, , New Castle, PA, 16101; Not Investment-Related; 01/01/2024; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-08-09
  • S63 Uniform Securities Agent State Law Examination
    1983-08-09

View on SEC IAPD

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