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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2012-04-05
FL RA APPROVED 2009-10-05
TX RA APPROVED_RES 2009-10-05
  • VA RA
    APPROVED
    Since 2012-04-05
  • FL RA
    APPROVED
    Since 2009-10-05
  • TX RA
    APPROVED_RES
    Since 2009-10-05

Branch Locations

3801 Pga Blvd Ste 500, Palm Beach Gardens, FL 33410 • United States

Tequesta, FL • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Palm Beach Gardens FL 10/2009 03/2020
Ameriprise Financial Services, Inc. Palm Beach Gardens FL 10/2009 03/2020
Ameriprise Financial Services, Llc Palm Beach Gardens FL 03/2020 Present
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Palm Beach Gardens, FL
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Palm Beach Gardens, FL
  • 03/2020 → Present
    Palm Beach Gardens, FL
Previous Registrations
Other Businesses

Real Estate Ownership; Commercial; 13095 Bryan Rd, , Loxahachee Groves, FL, 33470; Not Investment-Related; 06/21/2022 / Lot/Land; Ranchland Road, , Hobe Sound, FL, 33455; Not Investment-Related; 03/01/2023. Independent Insurance Brokering; United of Omaha; 08/18/2023; Fixed Annuity / American National; 08/18/2023; Fixed Annuity. Business Ownership; Seaside Greenery LLC AKA PRA Orchids; Business management; Interior Landscaping and Orchids; 17276 SE Galway Ct., , Tequesta, FL, 33469; Not Investment-Related; 11/01/2020; 10 to 19 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-04-06
S63 Uniform Securities Agent State Law Examination 1999-07-08
  • S65 Uniform Investment Adviser Law Examination
    2001-04-06
  • S63 Uniform Securities Agent State Law Examination
    1999-07-08
Designations
Other Names
  • Dickie Ewing

View on SEC IAPD

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