Clifford Brantley Smith

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2013-04-24

TX RA
APPROVED

Since 2013-04-24

Branch Locations

Portland, OR • United States

707 Sw Washington Ste 600, Portland, OR 97205 • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Lake Oswego	OR	10/2009	03/2020
Ameriprise Financial Services, Llc	Portland	OR	03/2020	Present

10/2009 → 03/2020

Ameriprise Financial Services, Inc.

Lake Oswego, OR
03/2020 → Present

Ameriprise Financial Services, Llc

Portland, OR

Previous Registrations

2003-08-01 → 2009-10-05

Ameriprise Advisor Services, Inc.

Lake Oswego, OR

Tigard, OR

Other Businesses

Real Estate Ownership; Multi-Family; 33000 Cape Kiwanda Drive, Cottage #3, Cloverdale, OR, 97112; Not Investment-Related; 06/27/2023. Business Ownership; Schmitt & Smith, LLC; Co-owner; Manage Ameriprise Business; 707 SW Washington Street, Ste. 600, Portland, OR, 97205; Investment-Related; 02/11/2025; 60 hours per month; 60 during trading hours. Outside Employment; C. Brantley Smith, Inc.; Owner; Manage advisory business; 726 NW 11th Ave, #410, Portland, OR 97209-3238, OR, 97209; Investment-Related; 02/14/2025; 10 to 19 hours per month; 1 to 9 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-06-14
S63	Uniform Securities Agent State Law Examination	1998-08-21

S65 Uniform Investment Adviser Law Examination

2001-06-14
S63 Uniform Securities Agent State Law Examination

1998-08-21

View on SEC IAPD