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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 2002-07-26
  • NJ RA
    APPROVED
    Since 2002-07-26

Branch Locations

349 Rt 31 Ste 101, Flemington, NJ 08822 • United States

High Bridge, NJ • 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. Flemington NJ 09/2005 03/2020
Ameriprise Financial Service, Llc Flemington NJ 04/1993 Present
  • 09/2005 → 03/2020
    Ameriprise Financial Services, Inc.
    Flemington, NJ
  • 04/1993 → Present
    Ameriprise Financial Service, Llc
    Flemington, NJ
Other Businesses

Board of Directors; North Hunterdon Rotary Club; President; 154 NJ-173, , Asbury, NJ, 08802; Not Investment-Related; 06/02/2025; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-10-25
S63 Uniform Securities Agent State Law Examination 1995-02-15
  • S65 Uniform Investment Adviser Law Examination
    1996-10-25
  • S63 Uniform Securities Agent State Law Examination
    1995-02-15

View on SEC IAPD

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