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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-12
NJ RA APPROVED 2016-04-18
TX RA APPROVED_RES 2016-04-18
  • NY RA
    APPROVED
    Since 2021-04-12
  • NJ RA
    APPROVED
    Since 2016-04-18
  • TX RA
    APPROVED_RES
    Since 2016-04-18

Branch Locations

1001 Franklin Ave Ste 302, Garden City, NY 11530 • United States

Merrick, NY • 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
Ameriprise Financial Services, Inc. Mitchel Field NJ 04/2016 03/2020
Ameriprise Financial Services, Llc Garden City NY 03/2020 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-02-27
S63 Uniform Securities Agent State Law Examination 1986-03-10
  • S65 Uniform Investment Adviser Law Examination
    2008-02-27
  • S63 Uniform Securities Agent State Law Examination
    1986-03-10

View on SEC IAPD

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