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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 2016-06-15
IL RA APPROVED 2016-05-24
  • TX RA
    APPROVED
    Since 2016-06-15
  • IL RA
    APPROVED
    Since 2016-05-24

Branch Locations

303 E Wacker Dr Ste 1575, Chicago, IL 60601 • United States

Chicago, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Geneva IL 05/2016 03/2020
Ameriprise Financial Services, Llc Chicago IL 03/2020 Present
Previous Registrations
  • 2010-08-09 → 2015-12-15
    Chicago, IL
  • 2005-12-14 → 2007-08-27
    Bmo Harris Financial Advisors, Inc.
    Glencoe, IL
    Winnetka, IL
  • 2004-08-17 → 2005-12-31
    Harrisdirect Llc
    Glencoe, IL
  • 2002-09-04 → 2004-08-24
    A. G. Edwards & Sons, Inc.
    Chicago, IL
Other Businesses

Outside Employment; Blue Balloons; AFA for financial advisory practice; Manage advisory business; 303 E Wacker Drive, Suite 1575, Chicago, IL, 60601; Investment-Related; 01/10/2022; 40 to 59 hours per month; 20 to 39 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-09-17
S65 Uniform Investment Adviser Law Examination 1999-11-19
S63 Uniform Securities Agent State Law Examination 1999-04-12
  • S66 Uniform Combined State Law Examination
    2010-09-17
  • S65 Uniform Investment Adviser Law Examination
    1999-11-19
  • S63 Uniform Securities Agent State Law Examination
    1999-04-12
Other Names
  • Sue Mclain

View on SEC IAPD

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