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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 2017-05-05
WA RA APPROVED 2013-07-16
  • TX RA
    APPROVED_RES
    Since 2017-05-05
  • WA RA
    APPROVED
    Since 2013-07-16

Branch Locations

2630 77Th Ave Se Ste 110, Mercer Island, WA 98040 • United States

Redmond, WA • United States

Disclosures

2 disclosure categories 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 Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Bellevue WA 07/2013 03/2020
Ameriprise Financial Services, Llc Mercer Island WA 03/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-02-26
S63 Uniform Securities Agent State Law Examination 1984-08-20
  • S66 Uniform Combined State Law Examination
    2009-02-26
  • S63 Uniform Securities Agent State Law Examination
    1984-08-20

View on SEC IAPD

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