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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 2010-02-12
  • FL RA
    APPROVED
    Since 2010-02-12

Branch Locations

350 E Las Olas Blvd Ste 1700, Ft Lauderdale, FL 33301 • United States

Hollywood, FL • 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. Plantation FL 02/2010 03/2020
Ameriprise Financial Services, Llc Ft Lauderdale FL 03/2020 Present
Previous Registrations
Other Businesses

Other Business Activities; Temple Sinai of North Dade; Part time Rabbi; 18801 NE 22nd Ave N Mimai Beach, FL, , North Miami, FL, 33180; Not Investment-Related; 09/02/2013; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-01-29
  • S63 Uniform Securities Agent State Law Examination
    1987-01-29
Other Names
  • Sam Rothberg

View on SEC IAPD

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