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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2019-01-18
IL RA APPROVED 2015-02-27
TX RA APPROVED 2015-02-27
  • FL RA
    APPROVED
    Since 2019-01-18
  • IL RA
    APPROVED
    Since 2015-02-27
  • TX RA
    APPROVED
    Since 2015-02-27

Branch Locations

2001 Butterfield Rd Ste 1520, Downers Grove, IL 60515 • United States

Panama City Beach, FL • 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. Downers Grove IL 02/2015 03/2020
Ameriprise Financial Services, Llc Downers Grove IL 03/2020 Present
Previous Registrations
  • 2009-06-01 → 2015-03-11
    Naperville, IL
  • 2006-08-04 → 2009-06-01
    New York, NY
    Naperville, IL
  • 1998-02-14 → 2006-08-09
    Morgan Stanley Dw Inc.
    Oak Brook, IL
    Oak Brook, IL
Other Businesses

Real Estate Ownership; Lot/Land; Aqua Condo 15625 Front Beach Rd. Panama City Beach Fl 32413, ,; Investment-Related; 11/02/2015. Business Ownership; A & N holdings; OWNER; CONDO in Westmont HAS BEEN SOLD BUT STILL HAVE A&N HOLDINGS ACCOUNT AT AMERIPRISE #2402-6871 WITH ABOUT $2,181 IN CASH holding company for a Condo which was previously disclosed when I got hired February 28 2015. I opened the account here but at that time they told me to disclose the real estate; 2719 wolf river ct Naperville Il 60565, ,; Investment-Related; 02/28/2015; 1 to 9 hours per month; 0 during trading hours / LA DOLCE VITA HOLDINGS LLC; 100% OWNER OF LLC; LLC OWNS A CONDO.REAL ESTATE; front beach rd unit 2010, , PANAMA CITY BEACH, FL, 32413; Investment-Related; 01/15/2020; 0 hours per month; 0 during trading hours / Calypso 407w holdings llc; I AM THE ONLY MEMBER OF THE LLCSINCE ITS A RENTEL CONDO AND I HAVE A SERVICE THAT RENTS IT THERE IS NOT MUCH I DO; THE LLC OWNS A SINGLE CONDO THAT IS A VACATION RENTAL; 15625 FRONT BEACH RD, , PANAMA CITY BEACH, FL, 32413; Investment-Related; 06/26/2020; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-02-01
S63 Uniform Securities Agent State Law Examination 1985-11-20
  • S65 Uniform Investment Adviser Law Examination
    1993-02-01
  • S63 Uniform Securities Agent State Law Examination
    1985-11-20

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