David Frank Brazen

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
MI	RA	APPROVED	2010-10-27
TX	RA	APPROVED_RES	2006-10-04

MI RA
APPROVED

Since 2010-10-27
TX RA
APPROVED_RES

Since 2006-10-04

Branch Locations

Troy, MI • United States

Leonard, MI • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Troy	MI	09/2005	03/2020
Ameriprise Financial Services, Llc	Troy	MI	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Troy, MI
03/2020 → Present

Ameriprise Financial Services, Llc

Troy, MI

Other Businesses

Business Ownership; BRAZEN LLC; primary leaser; PROPERTY MANAGEMENT; 1301 W. LONG LAKE RD. - SUITE 270TROY, MI 48098-6328, ,; Investment-Related; 03/01/2015; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Dorn Rd. HOA; Treasurer; Dorn Rd. Leonard, MI, ,; Not Investment-Related; 06/25/2018; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-09-13
S63	Uniform Securities Agent State Law Examination	1992-09-09

S66 Uniform Combined State Law Examination

2010-09-13
S63 Uniform Securities Agent State Law Examination

1992-09-09