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Advisor at AMERIPRISE FINANCIAL SERVICES, LLC
Harlan, IA | Walnut, IA | Avoca, IA
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 | Oct 3, 2022 | n/a | yes | Walnut, IA|Harlan, IA|Avoca, IA | Current employment |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Sep 28, 2018 | Oct 4, 2022 | no | WALNUT, IA | Previous registration |
| SIGNATOR INVESTORS, INC. | Former SEC adviser | May 13, 2016 | Oct 1, 2018 | no | CEDAR RAPIDS, IA|WALNUT, IA|ROCHESTER, MN | Previous registration |
| TRANSAMERICA FINANCIAL ADVISORS, LLC | Bd affiliated wealth | Feb 18, 2016 | May 13, 2016 | no | CEDAR RAPIDS, IA|WALNUT, IA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SECURITIES AMERICA ADVISORS, INC. | AMERIPRISE FINANCIAL SERVICES, LLC | Oct 4, 2022 | Oct 3, 2022 | -1 | Firm change | Ibd to ibd |
| SIGNATOR INVESTORS, INC. | SECURITIES AMERICA ADVISORS, INC. | Oct 1, 2018 | Sep 28, 2018 | -3 | Firm change | Ibd to ibd |
| TRANSAMERICA FINANCIAL ADVISORS, LLC | SIGNATOR INVESTORS, INC. | May 13, 2016 | May 13, 2016 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 110518:6363:IA:2022-10-04 | Oct 4, 2022 | Oct 3, 2022 | WALNUT, IA | Firm change |
| 468:110518:MN:2018-10-01 | Oct 1, 2018 | Sep 28, 2018 | ROCHESTER, MN | Firm change |