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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 2016-04-27
  • NJ RA
    APPROVED
    Since 2016-04-27

Branch Locations

141 W Front St Ste 140, Red Bank, NJ 07701 • United States

Sea Girt, NJ • 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. Red Bank NJ 04/2016 03/2020
Ameriprise Financial Services, Llc Red Bank NJ 03/2020 Present
Previous Registrations
Other Businesses

Board of Directors; Shark River Surf Angglers; Treasurer; 311 Washington Ave, , Spring Lake, NJ, 7762; Not Investment-Related; 12/05/2017; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-09-13
S63 Uniform Securities Agent State Law Examination 1983-11-03
  • S65 Uniform Investment Adviser Law Examination
    1994-09-13
  • S63 Uniform Securities Agent State Law Examination
    1983-11-03
Other Names
  • Joseph Higgins

View on SEC IAPD

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