Individual Firm
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Courtney Leigh Cotter
COURTNEY L COTTER
CRD#: 5708848
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 4951 77th St W Ste 18
Edina, MN 55435
Edina, MN 55435
0
Disclosures
13
Years of Experience
View By:
State Registrations
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Arkansas 10/11/2023
B
Nebraska 4/10/2023
B
Iowa 9/20/2023
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Nebraska 4/10/2023
B
Massachusetts 10/11/2023
B
South Dakota 9/20/2023
B
Minnesota 4/10/2023
B
Utah 10/11/2023
IA
Minnesota 4/10/2023
B
Wisconsin 9/20/2023
B
Montana 9/20/2023
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Wisconsin 10/11/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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Registered with this firm since 4/10/2023
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Registered with this firm since 4/10/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/23/2022 - 01/25/2023 | GOLDEN VALLEY, MN | |
B | 05/23/2022 - 01/25/2023 | GOLDEN VALLEY, MN | |
IA | 10/10/2018 - 05/25/2022 | Minneapolis, MN | |
B | 06/24/2011 - 05/25/2022 | Minneapolis, MN | |
B | 01/03/2017 - 11/07/2017 | Minneapolis, MN |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.