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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2015-02-13
  • PA RA
    APPROVED
    Since 2015-02-13

Branch Locations

3701 Corporate Pkwy Ste 130, Center Valley, PA 18034-8230 • United States

Lititz, PA • 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. Center Valley PA 02/2015 03/2020
Ameriprise Financial Services, Llc Center Valley PA 03/2020 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-01-26
S63 Uniform Securities Agent State Law Examination 1987-09-29
  • S65 Uniform Investment Adviser Law Examination
    2006-01-26
  • S63 Uniform Securities Agent State Law Examination
    1987-09-29
Other Names
  • Brian Duelfer

View on SEC IAPD

Other Firms

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