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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2015-08-13 |
| OH | RA | APPROVED | 2009-10-05 |
Branch Locations
5905 E Galbraith Rd Ste 4200, Cincinnati, OH 45236-2375 • United States
Maineville, OH • United States
Maineville, OH • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Blue Ash | OH | 10/2009 | 03/2020 |
| Ameriprise Financial Services, Inc. | Cincinnati | OH | 10/2009 | 03/2020 |
| Ameriprise Financial Services, Llc | Cincinnati | OH | 03/2020 | Present |
Board of Directors; Landen HOA; Board Member; 8273 Sunfish Lane Maineville OH 45039, ,; ; 06/08/2012; 1 to 9 hours per month; / Kings Local Pantry; Board Member; South Lebanon, OH, ,; ; 06/01/2015; 1 to 9 hours per month; 0 during trading hours. Other Business Activities; Surveys; I respond to invitations to join various surveys throughout the year; the reward is typically $5-$25 in Starbucks or Amazon gift cards.; 5905 E Galbraith Rd, , Cincinnati, OH, 45236; Investment-Related; 09/03/2019; 1 to 9 hours per month; 0 during trading hours / Financial Advisor Expert Witness; Potentially called to testify in a court case. My role would be to discuss the specifics behind UTMA' and IRA's (why are they set up, how the monies are typically utilized). There is no assurance that the case will go to court.; 8273 Sunfish Lane, , Maineville, OH, 45039; Investment-Related; 01/16/2023; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-07-31 |
| S63 | Uniform Securities Agent State Law Examination | 1988-03-23 |
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