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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 2015-03-11
CT RA APPROVED 2006-11-10
  • TX RA
    APPROVED_RES
    Since 2015-03-11
  • CT RA
    APPROVED
    Since 2006-11-10

Branch Locations

2425 Post Rd Ste 207, Southport, CT 06890 • United States

Prospect, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Westport CT 08/2006 03/2020
Ameriprise Financial Services, Llc Southport CT 03/2020 Present
Other Businesses

Board of Directors; Prospect Soccer Club Board; Secretary; 47 Waterbury Rd., Suite 4 PMB 333, Prospect , CT, 06712; Not Investment-Related; 12/15/2023; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-09
  • S66 Uniform Combined State Law Examination
    2006-11-09

View on SEC IAPD

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