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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 2010-01-05
FL RA APPROVED 2001-11-08
  • TX RA
    APPROVED_RES
    Since 2010-01-05
  • FL RA
    APPROVED
    Since 2001-11-08

Branch Locations

111 N Pine Island Rd Ste 201-B, Plantation, FL 33324-1836 • United States

Delary Beach, 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
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Plantation FL 09/2005 03/2020
Ameriprise Financial Services, Llc Plantation FL 03/2020 Present
Other Businesses

Real Estate Ownership; Commercial; 111 N. Pine Island Road- Ste 201, , Plantation, FL, 33324; Not Investment-Related; 09/01/2009. Other Business Activities; RLW Public Relations, Inc; Appointment to Advisory Board of Directors; 111 N. Pine Island Road- Ste 201b, , Plantation, FL, 33324; Not Investment-Related; 04/01/2018; 1 to 9 hours per month; 1 to 9 during trading hours / Sophie's Curated Closet LLC; I will be appointed to the Advisory Board. I don't expect any change to my current roll. A member of the Advisory board does not confer any rights, responsibilities or liability as a member of the "Board of Directors". Sophie's Curated Closet LLC is Registered with the with the State of FL. I'm not included nor associated in any capacity. My role will be as an Independent Consultant and not as an owner/ manager or officer. I do not anticipate earning compensation over the next year or so. My Spouse, Diane Wacks will be a Manager of the LLC. She does not anticipate earning compensation. Diane plans to fund expenses. Our non-qualified accounts are held Jointly. At some point, Diane may buy or receive an equity interest. Previous name, "Rachel Wacks d/b/a Sophie Isabella, the Ambassador of Happiness". Rachel is in the process of formalizing her activities. Examples, are as follows: Sophie's Curated Closet is in the process of Registering with the State of FL as an LLC. Rachel has not received approval. Once registered with the State of FL, Rachel plans to apply for a Fed ID # and file for a Sales Tax Exemption. She is in the early stages of discussion with Vendors, contacts for potential collaboration, creating a website, etc. No agreements have been signed or formalized.; 13148 Mount Columbia Ter, , Delray Beach, FL, 33446; Not Investment-Related; 06/23/2026; 10 to 19 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-01-22
  • S66 Uniform Combined State Law Examination
    2006-01-22
Other Names
  • Edward Wacks

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