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Peter Paul Tuffy

Ameriprise Financial Services, LLC

Yonkers, NY

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-01-24
  • NY RA
    APPROVED
    Since 2022-01-24

Branch Locations

832 Mclean Ave, Yonkers, NY 10704 • 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. Yonkers NY 11/2016 03/2020
Tuffy & Associates Yonkers NY 11/2003 Present
Ameriprise Financial Services, Llc Yonkers NY 03/2020 Present
  • 11/2016 → 03/2020
    Ameriprise Financial Services, Inc.
    Yonkers, NY
  • 11/2003 → Present
    Tuffy & Associates
    Yonkers, NY
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    Yonkers, NY
Other Businesses

Fiduciary Activities; Agent named in a health care directive or living will.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-01-24
S63 Uniform Securities Agent State Law Examination 2018-12-19
  • S65 Uniform Investment Adviser Law Examination
    2022-01-24
  • S63 Uniform Securities Agent State Law Examination
    2018-12-19
Other Names
  • Peter Paul Tuffy

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · YONKERS, NY
STATE FARM INVESTMENT MANAGEMENT CORP. · Yonkers, NY
CITIGROUP GLOBAL MARKETS INC. · Bronx, NY
J.P. MORGAN SECURITIES LLC · YONKERS, NY
WELLS FARGO CLEARING SERVICES, LLC · YONKERS, NY
WELLS FARGO CLEARING SERVICES, LLC · YONKERS, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · YONKERS, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · YONKERS, NY

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