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NICHOLAS TIMOTHY O'GWIN
NICHOLAS TIMOTHY O GWIN, NICHOLAS O'GWIN, Nicholas T O'Gwin
CRD#: 4940059
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 Gaithersburg, MD
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2011 (6 years)2 FIRMS2011 - 2024 (12 years)2 FIRMS2024 - Present (<1 year)
Disclosure(s)
View By:
9/14/2022
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 8/27/2024

B
Montana 8/27/2024

B
Arizona 8/22/2024

B
New Jersey 8/22/2024

B
California 8/22/2024

B
New Mexico 8/22/2024

B
Colorado 8/22/2024

B
New York 8/22/2024

B
Delaware 8/22/2024

B
North Carolina 8/30/2024

B
District of Columbia 8/22/2024

B
Ohio 8/22/2024

B
Florida 8/22/2024

IA
Ohio 8/22/2024

B
Georgia 8/22/2024

B
Pennsylvania 8/22/2024

B
Illinois 8/22/2024

B
South Carolina 8/22/2024

B
Maine 8/22/2024

B
Tennessee 8/22/2024

B
Maryland 8/22/2024

B
Texas 8/22/2024

IA
Maryland 8/22/2024

IA
Texas 8/22/2024

B
Massachusetts 8/22/2024

B
Virginia 8/22/2024

B
Minnesota 8/26/2024

IA
Virginia 1/21/2025

B
Mississippi 8/27/2024

B
Washington 8/22/2024

B
Missouri 8/22/2024

B
West Virginia 8/22/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
Gaithersburg, MD
12700 BLACK FOREST LN STE 310, WOODBRIDGE, VA 22192-5306
Registered with this firm since 8/22/2024

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
Gaithersburg, MD
12700 BLACK FOREST LN STE 310, WOODBRIDGE, VA 22192-5306
Registered with this firm since 8/22/2024

Previous Registration(s)
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IA
12/21/2011 - 08/26/2024 LPL FINANCIAL LLC (CRD#:6413) GAITHERSBURG, MD
B
12/21/2011 - 08/26/2024 LPL FINANCIAL LLC (CRD#:6413) GAITHERSBURG, MD
IA
08/30/2005 - 12/23/2011 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) GAITHERSBURG, MD
B
08/11/2005 - 12/23/2011 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) GAITHERSBURG, MD
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.