Alan Jay Richmond

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-02-06
TX	RA	APPROVED_RES	2022-01-28
IL	RA	APPROVED	2012-04-30

FL RA
APPROVED

Since 2024-02-06
TX RA
APPROVED_RES

Since 2022-01-28
IL RA
APPROVED

Since 2012-04-30

Branch Locations

540 W Northwest Hwy Ste E100, Barrington, IL 60010-3051 • United States

Venice, FL • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Lake Zurich	IL	04/2012	03/2020
Ameriprise Financial Services, Llc	Barrington	IL	03/2020	Present

04/2012 → 03/2020

Ameriprise Financial Services, Inc.

Lake Zurich, IL
03/2020 → Present

Ameriprise Financial Services, Llc

Barrington, IL

Previous Registrations

2009-06-01 → 2012-05-02

Morgan Stanley

Riverwoods, IL
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Riverwoods, IL
2001-03-28 → 2007-04-02

Morgan Stanley Dw Inc.

Arlingtonhts, IL

Riverwoods, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-03-20
S63	Uniform Securities Agent State Law Examination	1987-07-31

S65 Uniform Investment Adviser Law Examination

2000-03-20
S63 Uniform Securities Agent State Law Examination

1987-07-31

View on SEC IAPD

Current Employers

Ameriprise Financial Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews