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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2019-02-08 |
Branch Locations
2507 Post Rd Fl 3, Southport, CT 06890-1259 • United States
Fairfield, CT • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Stamford | CT | 03/2013 | 01/2019 |
| Ameriprise Financial Services Inc | Southport | CT | 01/2019 | 03/2020 |
| Ameriprise Financial Services, Llc | Southport | CT | 03/2020 | Present |
Board of Directors; Fairfield Republican Town Committee; Member; PO Box 275, , Fairfield, CT, 6824; Not Investment-Related; 07/27/2020; 1 to 9 hours per month; 0 during trading hours / FBI New Haven Citizen's Academy Alumni Association; ASSISTANT DIRECTOR; Box #933, , North Haven, CT, 06473; Not Investment-Related; 01/15/2026; 1 to 9 hours per month; 1 to 9 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-09-17 |
| S63 | Uniform Securities Agent State Law Examination | 1992-08-05 |
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