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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-06-19
MI RA APPROVED 2010-10-05
  • TX RA
    APPROVED_RES
    Since 2013-06-19
  • MI RA
    APPROVED
    Since 2010-10-05

Branch Locations

7950 Moorsbridge Rd Ste 300, Portage, MI 49024 • United States

Battle Creek, MI • 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. Portage MI 07/2009 03/2020
Ameriprise Financial Services, Llc Portage MI 03/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-09-01
S63 Uniform Securities Agent State Law Examination 1987-03-11
  • S65 Uniform Investment Adviser Law Examination
    2010-09-01
  • S63 Uniform Securities Agent State Law Examination
    1987-03-11

View on SEC IAPD

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