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Timothy Gardner Resigns from Ameriprise Financial Services

Timothy Gardner (CRD #: 4443647), a broker formerly registered with Ameriprise Financial Services, resigned from that firm, according to his BrokerCheck record, accessed on March 18, 2025. Read on if you have questions about his alleged conduct as a broker.

Resignation from Ameriprise Financial Services

On February 18, 2025, Timothy Gardner was permitted to resign from Ameriprise Financial Services allegations that he violated firm policy by failing to comply with the terms of the firm’s corrective action plan. The firm had allegedly suspended him on January 27, 2025.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Timothy Gardner has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Investment Company Products/Variable Contracts Representative Examination – Series 6
  • Uniform Combined State Law Examination – Series 66
  • Uniform Securities Agent State Law Examination – Series 63

He has also worked for the following firms:

  • Ameriprise Financial Services (CRD#:6363)
  • IDS Life Insurance Company (CRD#:6321)
  • PFS Investments (CRD#:10111)

Kurta Law Can Help

If you worked with Timothy Gardner and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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