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Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-02-20
NY RA APPROVED 2024-02-16
  • TX RA
    APPROVED_RES
    Since 2024-02-20
  • NY RA
    APPROVED
    Since 2024-02-16

Branch Locations

1001 Franklin Ave Ste 302, Garden City, NY 11530 • United States

Massapequa, NY • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Garden City NY 06/2008 02/2024
Bank Of America, Na Garden City NY 12/2009 02/2024
Ameriprise Financial Services, Llc Garden City NY 02/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-09-23
S63 Uniform Securities Agent State Law Examination 1988-04-06
  • S66 Uniform Combined State Law Examination
    2005-09-23
  • S63 Uniform Securities Agent State Law Examination
    1988-04-06
Other Names
  • Vincent Thomas Ferrara
  • Vincent Thomas Ferrara

View on SEC IAPD

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