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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 2024-04-12
NC RA APPROVED 2001-12-31
  • TX RA
    APPROVED_RES
    Since 2024-04-12
  • NC RA
    APPROVED
    Since 2001-12-31

Branch Locations

108 Zebulon Ct, Rocky Mount, NC 27804 • United States

7741 Market St Ste F, Wilmington, NC 28411 • United States

Hampstead, NC • 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. Rocky Mount NC 09/2005 03/2020
Ameriprise Financial Services, Llc Rocky Mount NC 03/2020 Present
Other Businesses

Real Estate Ownership; Commercial; 108 Zebulon Court -Office Address, ,; ; / Commercial; 7741-F Market St, Wilmington, NC, ,; ; 02/01/2014. Business Ownership; Steven D Felton, Inc.; ; Legal entity to pay staff and major expenses. OSJ is aware of this and I report annually. Checking account information is on file with my OSJ.; PO Box 7007Rocky Mount, NC 27804, ,; ; ; 0 hours per month; / Steven D. Felton, Inc. Felton Consulting, Inc.; ; Consulting; SDF, Inc. P O Box 7007; 108 Zebulon Ct - Physical address Rocky , Mount, NC 27804 Felton Consulting, Inc. PO Box 7007 Rocky Mount,; Not Investment-Related; 01/23/2017; 40 to 59 hours per month; 40 to 59 during trading hours. Board of Directors; Duke Childrens Hospital and Health Center; Ambassador; 300 W Morgan St, 12th Floor, , Durham, NC, 27702; Not Investment-Related; 05/01/2022; 1 to 9 hours per month; 1 to 9 during trading hours / NC Wesleyan University; Board Member; 3400 N Wesleyan Blvd, , Rocky Mount, NC, 27804; Not Investment-Related; 01/01/2023; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; sfeltondesigns; Painting pictures for people and turning some of them into notecards and giving all net proceeds to Duke Chilldrens Hospital; Same as on file, ,; ; 01/01/2013; 20 to 39 hours per month; .

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1985-05-20
  • S63 Uniform Securities Agent State Law Examination
    1985-05-20

View on SEC IAPD

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