John Edward Baringer

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-16

NY RA
APPROVED

Since 2021-04-16

Branch Locations

1 Hemphill Pl Ste 104, Malta, NY 12020 • United States

25 Clinton Avenue, Cortland, NY 13045 • United States

Cortland, 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Cortland	NY	09/2005	03/2020
Ameriprise Financial Services, Llc	Cortland	NY	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Cortland, NY
03/2020 → Present

Ameriprise Financial Services, Llc

Cortland, NY

Other Businesses

Real Estate Ownership; Commercial; 25 Clinton Ave., , Cortland, NY, 13045; Not Investment-Related; 01/01/1987. Board of Directors; YMCA; Member-Finance Committee-Not a Board member; 22 Tompkins Street , , Cortland, NY, 13045; Not Investment-Related; 11/09/2016; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-06-20
S63	Uniform Securities Agent State Law Examination	1985-05-24

S65 Uniform Investment Adviser Law Examination

1996-06-20
S63 Uniform Securities Agent State Law Examination

1985-05-24

Designations

View on SEC IAPD