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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 2010-01-28
WA RA APPROVED 1989-07-28
  • TX RA
    APPROVED_RES
    Since 2010-01-28
  • WA RA
    APPROVED
    Since 1989-07-28

Branch Locations

2630 77Th Ave Se Ste 110, Mercer Island, WA 98040 • United States

Mercer Island, WA • 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. Seattle WA 09/2005 03/2020
Ameriprise Financial Services, Llc Mercer Island WA 03/2020 Present
Other Businesses

Real Estate Ownership; Multi-Family; 3600 Suncadia TrailUnit# 5058Cle Elum, WA 98922, ,; ; 10/20/2012. Independent Insurance Brokering; UNUM John Handcock; 01/01/1995; . Business Ownership; Too Belay; Owner; Real Estate; 3225 McLeod DR Suite 100, , Las Vagas, NV, 89121; Not Investment-Related; 01/01/2026; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-10-18
S63 Uniform Securities Agent State Law Examination 1987-09-22
  • S66 Uniform Combined State Law Examination
    2000-10-18
  • S63 Uniform Securities Agent State Law Examination
    1987-09-22

View on SEC IAPD

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