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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2009-10-05
  • CT RA
    APPROVED
    Since 2009-10-05

Branch Locations

6580 Main St Ryders Landing Ste 102, Stratford, CT 06614-1605 • United States

Trumbull, 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. East Hartford CT 06/2011 03/2020
Ameriprise Financial Services, Llc Stratford CT 03/2020 Present
Previous Registrations
  • 2009-06-02 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Stratford, CT
    Fairfield, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-05-30
S63 Uniform Securities Agent State Law Examination 2003-12-18
  • S66 Uniform Combined State Law Examination
    2009-05-30
  • S63 Uniform Securities Agent State Law Examination
    2003-12-18
Other Names
  • Virginia Catherine Hartsig

View on SEC IAPD

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