Best Investors Account Sign in
Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-16
TX RA APPROVED_RES 2006-10-03
  • NY RA
    APPROVED
    Since 2021-04-16
  • TX RA
    APPROVED_RES
    Since 2006-10-03

Branch Locations

2024 W Henrietta Road Ste 5K, Rochester, NY 14623 • United States

Rochester, NY • 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. Rochester NY 09/2005 03/2020
Ameriprise Financial Services, Llc Rochester NY 03/2020 Present
Other Businesses

Real Estate Ownership; Commercial; 2024 W. Henrietta Rd, Suite 5KRochester, NY 14623, ,; Not Investment-Related; 07/01/1999 / Single Family; 180 Sunnyside Drive, Rochester, NY 14623, ,; Not Investment-Related; 02/01/2005 / It's a fractional share like a timeshare called The Phillips Club. We enjoy visiting NYC. We donate the use to charitable organizations and they are able to get $1,200 to $2,000 a stay through their auctions. Usually Geva, Rochester Education Foundation, Kidney Foundation, Center for Youth and occasionally St. John's Nursing Home have used it Also, when clients go to NYC, I have offered the use of it. The clients pay for the cleaning fee of $60 the 1st night and $40 the subsequent nights. ; 155 W 66th St,, , New York, NY, 10023; Not Investment-Related; 06/01/2009 / Commercial; 2024 W Henrietta Road Suite 5K, , Rochester, NY, 14623; Investment-Related; 05/04/2018 / It's a 1bedroom fractional share like a timeshare called The Phillips Club. We enjoy visiting NYC. We donate the use to charitable organizations through their auctions. Usually Geva, Rochester Education Foundation, Center for Youth and others have used it. ; 155 W 66th Street, , New York, NY, 10023; Not Investment-Related; 02/14/2025. Independent Insurance Brokering; Aetna; 09/23/2020; / Excellus; 09/23/2020; / Genworth; 01/01/2001; / John Hancock Financial Services; 05/10/2013; / MedAmerica; 03/01/2005; / National Life Group; 08/28/2017; / TransAmerica; 09/01/2010; / UnitedHealthCare (UHC); 09/23/2020; / UNUM; 01/01/1998; / Upstate Special Risk; 03/12/2007; Disability Income / Wellcare; 09/23/2020; . Business Ownership; KiteTails LLC; ; I publish children's book about choices with the characters Yum & Yuk. It is a non for profit venture where a book is given to an underpriviledged child for each one sold.; 137 East Avenue, RoCo Upstairs Rochester, NY 14604, ,; Not Investment-Related; 09/10/2009; 1 to 9 hours per month; 1 to 9 during trading hours / Right On LLC; Pay employees; LLC formed to create separate entity to pay non licensed staff starting through LLC in Jan 2011; 2024 W Henrietta Road Suite 5K, , Rochester, NY, 14623; Not Investment-Related; 01/01/2011; 10 to 19 hours per month; 0 during trading hours / Bright Park LLC; LLC formed to put the office condo in which I do business; LLC formed to put the office condo in which I do business to reduce excess liability in case someone sued me for getting hurt at the office; 2024 W Henrietta Road Suite 5K, , Rochester, NY, 14623; Not Investment-Related; 01/01/2010; 1 to 9 hours per month; 0 during trading hours. Board of Directors; WXXI Public Broadcasting Council; Honorary Board Member; 280 State Street - PO Box 30021, , Rochester, NY, 14603; Not Investment-Related; 05/01/2017; 1 to 9 hours per month; 1 to 9 during trading hours / Geva Theatre Center; Honorary Board Member; 75 Woodbury Blvd, , Rochester, NY, 14607; Not Investment-Related; 07/01/2010; 1 to 9 hours per month; 0 during trading hours / George Eastman Museum; Chair; 900 East Avenue, , Rochester, NY, 14607; Not Investment-Related; 07/01/2022; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; Notary; Notary Public; 2024 W Henrietta Road Suite 5K, , Rochester, NY, 14623; Not Investment-Related; 07/01/1996; 1 to 9 hours per month; 0 during trading hours / Host and producer; A community access television program; 3100 Atlantic Avenue, , Penfield, NY, 14526; Not Investment-Related; 06/01/2006; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-03-08
S63 Uniform Securities Agent State Law Examination 1984-10-01
  • S65 Uniform Investment Adviser Law Examination
    1994-03-08
  • S63 Uniform Securities Agent State Law Examination
    1984-10-01
Designations

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Rochester, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor