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Sandra Gay Smith

Ameriprise Financial Services, LLC

New York, NY

Redding, CT

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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 2025-02-06
CT RA APPROVED 2021-10-01
NY RA APPROVED 2021-04-16
  • TX RA
    APPROVED
    Since 2025-02-06
  • CT RA
    APPROVED
    Since 2021-10-01
  • NY RA
    APPROVED
    Since 2021-04-16

Branch Locations

530 5Th Ave 10Th Floor, New York, NY 10036 • United States

Redding, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. New York NY 08/2015 03/2020
Ameriprise Financial Services, Llc New York NY 03/2020 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-01-14
S65 Uniform Investment Adviser Law Examination 1998-05-22
S63 Uniform Securities Agent State Law Examination 1988-05-06
  • S66 Uniform Combined State Law Examination
    2011-01-14
  • S65 Uniform Investment Adviser Law Examination
    1998-05-22
  • S63 Uniform Securities Agent State Law Examination
    1988-05-06
Designations

View on SEC IAPD

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