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Kathleen Ann O'KAne

Ameriprise Financial Services, LLC

Charlotte, NC

Charlotte, NC

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2026-06-26
TX RA APPROVED 2026-06-26
  • NC RA
    APPROVED
    Since 2026-06-26
  • TX RA
    APPROVED
    Since 2026-06-26

Branch Locations

4521 Sharon Rd Ste 300, Charlotte, NC 28211 • United States

13830 Ballantyne Corporate Pl Ste 200, Charlotte, NC 28277 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward Jones St Louis MO 06/2017 06/2026
American Stock Transfer & Trust Co Llc Brooklyn NY 01/2007 06/2017
Ameriprise Financial Services, Llc Charlotte NC 06/2026 Present
Previous Registrations
  • 2017-08-22 → 2026-07-07
    Edward Jones
    Concord, NC
    Locust, NC
    St Louis, MO
    Cornelius, NC
    Concord, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-08-16
  • S66 Uniform Combined State Law Examination
    2017-08-16
Other Names
  • Kathleen Okane Miller
  • Kathleen O Miller
  • Kathleen Miller
  • Kathy Okane Miller
  • Kathy O Miller
  • Kathy Miller
  • Kathleen Ann O'KAne
  • Kathleen A O'KAne
  • Kathleen O'KAne
  • Kathy Anne O'KAne
  • Kathy A O'KAne
  • Kathy O'KAne

View on SEC IAPD

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