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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_RES 2013-09-19
SC RA APPROVED 1991-03-29
  • TX RA
    APPROVED_RES
    Since 2013-09-19
  • SC RA
    APPROVED
    Since 1991-03-29

Branch Locations

845 Polo Rd Ste 1, Columbia, SC 29223-1004 • United States

Columbia, SC • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Columbia SC 09/2005 03/2020
Ameriprise Financial Services, Llc Columbia SC 03/2020 Present
Other Businesses

Real Estate Ownership; Duplex; 320 and 322 Prospect Street Columbia SC 29205, ,; ; . Business Ownership; The Wyboo Lead Dog LLC; Co-owner; Real Estate; 1206 Conestoga St, , Manning, SC, 29102; Not Investment-Related; 02/03/2025; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-04-16
  • S63 Uniform Securities Agent State Law Examination
    1984-04-16

View on SEC IAPD

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