Alain Maurice Connelly

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2012 → 11/2016
  Wells Fargo Advisors
  San Diego, CA
• 11/2016 → 02/2018
  Wells Fargo Clearing Services, Llc
  San Diego, CA
• 02/2018 → 03/2020
  Ameriprise Financial Services Inc
  San Diego, CA
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  San Diego, CA

Previous Registrations

• 2012-07-06 → 2018-03-01
  Wells Fargo Clearing Services, Llc
  San Diego, CA
• 2009-06-01 → 2012-07-11
  Morgan Stanley
  San Diego, CA
• 2008-08-29 → 2009-06-01
  Morgan Stanley & Co. Llc
  San Diego, CA
• 1997-07-08 → 2008-09-19
  Ubs Financial Services Inc.
  San Diego, CA
  San Diego, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-07-17
• S63 Uniform Securities Agent State Law Examination
  1991-01-02

Other Names

• Alain Maurice Connelly