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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
AK RA APPROVED 2025-04-29
ID RA APPROVED 2025-04-25
FL RA APPROVED 2020-01-08
TX RA APPROVED_RES 2009-10-07
WA RA APPROVED 1999-07-14
  • AK RA
    APPROVED
    Since 2025-04-29
  • ID RA
    APPROVED
    Since 2025-04-25
  • FL RA
    APPROVED
    Since 2020-01-08
  • TX RA
    APPROVED_RES
    Since 2009-10-07
  • WA RA
    APPROVED
    Since 1999-07-14

Branch Locations

2630 77Th Ave Se Ste 110, Mercer Island, WA 98040 • United States

5401 32Nd Ave Nw Ste 201, Gig Harbor, WA 98335 • United States

Mercer Island, WA • United States

Disclosures

1 disclosure category 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 No
  • 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. Mercer Island WA 04/1999 03/2020
Ameriprise Financial Services, Llc Mercer Island WA 03/2020 Present
Other Businesses

Real Estate Ownership; Commercial; 5201 Rainier, , Seattle, WA, 98118; Investment-Related; 09/01/2020. Business Ownership; Kid Exercises; CEO; The business would be an app that parents sign up for, that sends the parents a money related exercise monthly, that the parent would do with their kids, with the goal being to help teach their kids certain values that are associated with good financial decision making.; 7853 se 27th mercer island WA 98040, ,; Not Investment-Related; 01/30/2019; 1 to 9 hours per month; 0 during trading hours / Encompass; ; We have hired EmployShare to help us create an outside consulting arrangement with other professionals when we need to hire their porfessional skills on a case by case method and compensation is paid on a pre-determined hourly rate which is set in this contract.; 7800 SE 27 St #503Mercer Island, WA 98040, ,; Not Investment-Related; 10/15/2012; 1 to 9 hours per month; 0 during trading hours / Heritage Wealth Advisors LLC; Owner; Manage Ameriprise Business; 2630 77th Ave SE, Ste 110, Mercer Island , WA, 98040; Investment-Related; 05/16/2025; 0 hours per month; 0 during trading hours / ProSync Insurance Services LLC; Owner; Manage Ameriprise Business; 126 Wells Ave , , Renton , WA, 98057; Investment-Related; 01/15/2026; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Academy of Finance; Vice Chair; Seattle, WA, ,; ; ; 20 to 39 hours per month; .

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-16
S63 Uniform Securities Agent State Law Examination 1999-05-17
  • S65 Uniform Investment Adviser Law Examination
    1999-06-16
  • S63 Uniform Securities Agent State Law Examination
    1999-05-17

View on SEC IAPD

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