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David Wayne Grossnickle

Ameriprise Financial Services, LLC

South Bend, IN

South Bend, IN

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2022-08-08
TX RA APPROVED 2022-07-22
  • IN RA
    APPROVED
    Since 2022-08-08
  • TX RA
    APPROVED
    Since 2022-07-22

Branch Locations

202 South Michigan Street Suite 320, South Bend, IN 46601-1812 • United States

South Bend, IN • 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
Old National Bank Mishawaka IN 05/2008 06/2022
Lpl Financial, Llc Mishawaka IN 11/2009 06/2022
Ameriprise Financial Services, Llc South Bend IN 07/2022 Present
Previous Registrations
  • 2009-11-30 → 2022-07-08
    Lpl Financial Llc
    Fort Mill, SC
    Ft Wayne, IN
    South Bend, IN
    Granger, IN
    Elkhart, IN
    Ft Wayne, IN
    Kendallville, IN
    Kalamazoo, MI
    Elkhart, IN
    South Bend, IN
    South Bend, IN
    South Bend, IN
    Niles, MI
    Constantine, MI
    St. Joseph, MI
    Fairplain, MI
    South Bend, IN
    Portage, MI
    Paw Paw, MI
    Kalamazoo, MI
    Kalamazoo, MI
    Portage, MI
    Kalamazoo, MI
    Portage, MI
    Kalamazoo, MI
  • 2008-05-21 → 2009-12-01
    Invest Financial Corporation
    Evansville, IN
    Mishawaka, IN
    Elkhart, IN
  • 2007-02-09 → 2008-05-29
    Ubs Financial Services Inc.
    Mishawaka, IN
  • 2007-01-30 → 2007-02-09
    Keybanc Capital Markets Inc.
    Mishawaka, IN
  • 1999-02-23 → 2002-10-08
    Banc One Securities Corporation
    Elkhart, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-01-13
S63 Uniform Securities Agent State Law Examination 1985-12-12
  • S65 Uniform Investment Adviser Law Examination
    1999-01-13
  • S63 Uniform Securities Agent State Law Examination
    1985-12-12
Other Names
  • Dave Grossnickle
  • David W Grossnickle
  • David Grossnickle
  • Dave Wayne Grossnickle
  • Dave W Grossnickle

View on SEC IAPD

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