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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2021-10-14
TX RA APPROVED_RES 2006-10-05
DC RA APPROVED 1994-02-05
VA RA APPROVED 1987-07-21
  • SC RA
    APPROVED
    Since 2021-10-14
  • TX RA
    APPROVED_RES
    Since 2006-10-05
  • DC RA
    APPROVED
    Since 1994-02-05
  • VA RA
    APPROVED
    Since 1987-07-21

Branch Locations

1902 Campus Commons Dr Ste 500, Reston, VA 20191-1592 • United States

Reston, VA • 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
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Reston VA 09/2005 03/2020
Ameriprise Financial Services, Llc Reston VA 03/2020 Present
Other Businesses

Business Ownership; MHA; ; This is the LLC that holds the lease for office we have.; 1902 Campus Commons DriveReston, Virginia 20191, ,; ; ; 1 to 9 hours per month; / Harbor Breeze Holdings; Owner; Manage Ameriprise Business; 1902 Campus Commons Drive, Suite 500, , Reston, VA, 20191; Not Investment-Related; 07/01/2026; 60 hours per month; 60 during trading hours. Outside Employment; Harbor Breeze Holdings; Owner; Manage advisory business; 1902 Campus Commons Drive, , Reston, VA, 20191; Investment-Related; 07/01/2026; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-12-05
S63 Uniform Securities Agent State Law Examination 1984-06-19
  • S65 Uniform Investment Adviser Law Examination
    1995-12-05
  • S63 Uniform Securities Agent State Law Examination
    1984-06-19
Designations
Other Names
  • Steve Marshall

View on SEC IAPD

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