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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2026-06-29
  • IL RA
    APPROVED
    Since 2026-06-29

Branch Locations

358 W Irving Park Rd, Wood Dale, IL 60191-1322 • United States

The Huntington Investment Company

41 S. High Street, Columbus, OH 43215 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2025-12-15
IL RA APPROVED 2023-08-30
  • LA RA
    APPROVED
    Since 2025-12-15
  • IL RA
    APPROVED
    Since 2023-08-30

Branch Locations

Wood Dale 358 W Irving Park Rd, Wood Dale, IL 60191 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Northbrook IL 12/2016 08/2023
First American Bank Bloomingdale IL 06/2015 12/2016
Bank Of America, N.A. Northbrook IL 06/2017 08/2023
The Huntington Investment Company Columbus OH 08/2023 Present
Ameriprise Financial Services, Llc Wood Dale IL 06/2026 Present
Previous Registrations
Other Businesses

Name: Rasier, LLC Investment-Related: NO Address: 1515 3rd Street San Francisco, CA 94158 Nature/Position: Gig Work (Doordash, Uber, etc.) / Driver Start date: 03/30/2023 Approx Hours: 10-20 hours Trading Hours: 0-5 hours Duties: Drive riders to their destinations.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-05-10
  • S66 Uniform Combined State Law Examination
    2017-05-10
Other Names
  • Rismane Maurice
  • Stephen J. Morris

View on SEC IAPD

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