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Stephen Richard Coleman

Ameriprise Financial Services, LLC

Raleigh, NC

Raleigh, NC

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2020-11-13
TX RA APPROVED 2020-11-13
  • NC RA
    APPROVED
    Since 2020-11-13
  • TX RA
    APPROVED
    Since 2020-11-13

Branch Locations

3600 Glenwood Ave Ste 130, Raleigh, NC 27612 • United States

Raleigh, NC • 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
Wells Fargo Advisors Llc Raleigh NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Raleigh NC 11/2016 11/2020
Ameriprise Financial Services, Llc Raleigh NC 11/2020 Present
Previous Registrations
  • 2009-02-13 → 2020-11-16
    Wells Fargo Clearing Services, Llc
    Raleigh, NC
    Raleigh, NC
    Raleigh, NC
  • 2001-12-13 → 2009-02-23
    Scott & Stringfellow, Llc
    Raleigh, NC
    Raleigh, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-10-24
S65 Uniform Investment Adviser Law Examination 1993-08-11
S63 Uniform Securities Agent State Law Examination 1983-12-01
  • S66 Uniform Combined State Law Examination
    2001-10-24
  • S65 Uniform Investment Adviser Law Examination
    1993-08-11
  • S63 Uniform Securities Agent State Law Examination
    1983-12-01
Designations

View on SEC IAPD

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ADVISORY SERVICES NETWORK
WELLS FARGO CLEARING SERVICES, LLC
EDWARD JONES
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

ARNE W MORRIS
JAMES MICHAEL TARKENTON
CALEB ROBERT GRIFFITH
William Dean Cotton
Earl Scott Butcher
DAVID JEFFREY HERMAN
JAY DAVID MCKINNEY
BRANDON ALAN WALLS

Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC
ADVISORY SERVICES NETWORK · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC
EDWARD JONES · RALEIGH, NC

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