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Advisor at AMERIPRISE FINANCIAL SERVICES, LLC
Jericho, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Jan 30, 2024 | n/a | yes | Jericho, NY | Current employment |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Aug 12, 2022 | Dec 8, 2023 | no | Great Neck, NY | Previous registration |
| ROUND ROCK ADVISORS LLC | Independent wealth | Apr 22, 2020 | Aug 9, 2022 | no | WILTON, CT | Previous registration |
| MORGAN STANLEY | Wirehouse | Jan 29, 2018 | Apr 16, 2020 | no | Greenwich, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| ROUND ROCK ADVISORS LLC | AMERIPRISE FINANCIAL SERVICES, LLC | Aug 9, 2022 | Aug 12, 2022 | 3 | Firm change | RIA to ibd |
| MORGAN STANLEY | ROUND ROCK ADVISORS LLC | Apr 16, 2020 | Apr 22, 2020 | 6 | Firm change | Wirehouse to RIA |