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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 2019-03-29
MI RA APPROVED 2014-10-13
  • TX RA
    APPROVED
    Since 2019-03-29
  • MI RA
    APPROVED
    Since 2014-10-13

Branch Locations

4177 Fashion Square Blvd. Suite 4, Saginaw, MI 48603 • United States

Essexville, MI • 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. Saginaw MI 10/2014 03/2020
Ameriprise Financial Services, Llc Saginaw MI 03/2020 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-10-29
S63 Uniform Securities Agent State Law Examination 1985-05-01
  • S65 Uniform Investment Adviser Law Examination
    2010-10-29
  • S63 Uniform Securities Agent State Law Examination
    1985-05-01
Other Names
  • Jim W Price

View on SEC IAPD

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