Steven Douglas Curtis

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2016-11-10
CA	RA	APPROVED	1997-12-15

TX RA
APPROVED_RES

Since 2016-11-10
CA RA
APPROVED

Since 1997-12-15

Branch Locations

26060 Acero Ste 109, Mission Viejo, CA 92691 • United States

41690 Ivy Street D6, Murrieta, CA 92562 • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Laguna Niguel	CA	09/2005	03/2020
Ameriprise Financial Services, Llc	Mission Viejo	CA	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Laguna Niguel, CA
03/2020 → Present

Ameriprise Financial Services, Llc

Mission Viejo, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-06-19
S63	Uniform Securities Agent State Law Examination	1991-03-14

S65 Uniform Investment Adviser Law Examination

1997-06-19
S63 Uniform Securities Agent State Law Examination

1991-03-14

Other Names

Steve Douglas Curtis

View on SEC IAPD

Current Employers

Ameriprise Financial Services, Llc

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews