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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-07-29
TX RA APPROVED_RES 2016-08-29
  • CA RA
    APPROVED
    Since 2024-07-29
  • TX RA
    APPROVED_RES
    Since 2016-08-29

Branch Locations

1715 E Skyline Dr Ste 151, Tucson, AZ 85718 • United States

Tucson, AZ • 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. Tucson AZ 02/2014 03/2020
Ameriprise Financial Services, Llc Tucson AZ 03/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-16
S63 Uniform Securities Agent State Law Examination 1987-08-05
  • S65 Uniform Investment Adviser Law Examination
    1992-07-16
  • S63 Uniform Securities Agent State Law Examination
    1987-08-05

View on SEC IAPD

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