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Stefanie Marie Moxham

Ameriprise Financial Services, LLC

Mint Hill, NC

Minneapolis, MN

CRD 7867574

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Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2026-04-07
  • NC RA
    APPROVED
    Since 2026-04-07

Branch Locations

Mint Hill, NC • United States

901 3Rd Ave S, Minneapolis, MN 55402 • 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, Llc Minneapolis MN 02/2024 Present
Oriental Bank Charlotte NC 08/2022 12/2023
Wells Fargo Charlotte NC 01/2015 10/2022
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-02-27
  • S66 Uniform Combined State Law Examination
    2026-02-27
Other Names
  • Stefanie Marie Gomez
  • Stefanie Marie Zuniga
  • Stefanie Marie Moxham

View on SEC IAPD

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