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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2021-01-19
TX RA APPROVED_RES 2019-09-04
MD RA APPROVED 2019-09-03
  • VA RA
    APPROVED
    Since 2021-01-19
  • TX RA
    APPROVED_RES
    Since 2019-09-04
  • MD RA
    APPROVED
    Since 2019-09-03

Branch Locations

200 Westgate Cir Ste 400, Annapolis, MD 21401 • United States

8045 Leesburg Pike Ste 500, Vienna, VA 22182 • United States

Crownsville, MD • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Annapolis MD 04/1986 08/2019
Ameriprise Financial Services, Llc Annapolis MD 11/2009 08/2019
Ameriprise Financial Service, Llc Annapolis MD 08/2019 Present
Previous Registrations
Other Businesses

Real Estate Ownership; Single Family; 723 Graves Ordinary, , Williamsburg, VA, 23185; Not Investment-Related; 05/15/2017. Board of Directors; Anne Arundel Medical Center Foundation; Vice Chair of Foundation Board; 1010 Medical Prkwy, , Annapolis, MD, 21401; Not Investment-Related; 09/04/2019; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; Finance Committee/ AAMC Foundation; Chair the Finance Committee for the Board to communicate the finances facilitated through financial development via donors to this charitable organization; 2001 Medical Parkway, , Annapolis, MD, 21401; Not Investment-Related; 11/15/2021; 1 to 9 hours per month; 1 to 9 during trading hours / Archdiocese of Baltimore/ Investment Committee; Receive commiunication from the Investment Managemnet team on the Archdiocese Funds and communicate this to the Archdiocese Board; 320 Cathedral Street, , Baltimore, MD, 21201; Investment-Related; 11/22/2021; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-09-19
S63 Uniform Securities Agent State Law Examination 1986-07-23
  • S65 Uniform Investment Adviser Law Examination
    1994-09-19
  • S63 Uniform Securities Agent State Law Examination
    1986-07-23
Other Names
  • Scott Gerhard Mcroy
  • Scott Gerhard Mcroy

View on SEC IAPD

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