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David Arnold Duff

Ameriprise Financial Services, LLC

Martinez, GA

Evans, GA

CRD 1400920

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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
TX RA APPROVED_RES 2007-04-10
GA RA APPROVED 2003-03-20
  • TX RA
    APPROVED_RES
    Since 2007-04-10
  • GA RA
    APPROVED
    Since 2003-03-20

Branch Locations

116 Cooper Dr Suite B, Martinez, GA 30907-0007 • United States

Evans, GA • 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, Inc. Evans GA 09/2005 03/2020
Ameriprise Financial Services, Llc Evans GA 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 4157 Mullilin Rd, , Evans, GA, 30809; Not Investment-Related; 04/03/2023.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-07-10
S63 Uniform Securities Agent State Law Examination 1986-10-17
  • S65 Uniform Investment Adviser Law Examination
    1996-07-10
  • S63 Uniform Securities Agent State Law Examination
    1986-10-17
Other Names
  • Dave Duff

View on SEC IAPD

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