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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2019-05-29 |
| CT | RA | APPROVED | 2019-05-28 |
Branch Locations
545 Long Wharf Dr Ste 501, New Haven, CT 06511 • United States
Guilford, CT • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co | Madison | CT | 10/2007 | 05/2019 |
| Ameriprise Financial Services, Llc | New Haven | CT | 03/2020 | Present |
| Ameriprise Financial Services Inc | New Haven | CT | 05/2019 | 03/2020 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-04-16 |
| S63 | Uniform Securities Agent State Law Examination | 2001-03-14 |
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