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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 2000-02-18
  • TX RA
    APPROVED
    Since 2000-02-18

Branch Locations

25511 Budde Rd Ste 301, The Woodlands, TX 77380 • United States

The Woodlands, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. The Woodlands TX 09/2005 03/2020
Ameriprise Financial Services, Llc The Woodlands TX 03/2020 Present
Other Businesses

Real Estate Ownership; Commercial; 25511 Budde Road Suite 301The Woodlands, Texas 77380, ,; Investment-Related; 04/07/2008 / Commercial; 9193 Lucille Lane, , Conroe, TX, 77382; Investment-Related; 09/29/2017. Business Ownership; Mustard Seed Holdings; ; Entity for holding the real estate I own for work.; 25511 Budde Road, Suite 301The Woodlands, Texas77380, ,; ; ; 1 to 9 hours per month; . Board of Directors; BRAZORIA COUNTY MUNICIPAL UTILITY DISTRICT NO. 63A; Board Member and Secretary; 1300 Post Oak Boulevard, Suite 2400, Houston, TX, 77056; Not Investment-Related; 02/03/2023; 1 to 9 hours per month; 1 to 9 during trading hours / Brownstone Property Owner's Association; submitting application to be a board member; 25511 Budde Rd, , The Woodlands, TX, 77380; Not Investment-Related; 03/05/2025; 1 to 9 hours per month; 0 during trading hours. Outside Employment; vitamins; ambassador - this is a vitamin club. the "discount" you get on the vitamins is paid to you as 1099 income. depending upon how much your order is dictates the discount/comp you receive. we have a large family. comp could be $3,000 per year if we maxed-out what we were using as a family. started taking the vitamins in the fall. as our order is growing larger, it is obvious that the discount/comp would be forthcoming.; ; 19 Amber Leaf Court, , The Woodlands, TX, 77381; Not Investment-Related; 12/28/2021; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-07-26
  • S63 Uniform Securities Agent State Law Examination
    1999-07-26
Other Names
  • Kristin Lee Sewell
  • Kristin Lee Sanders

View on SEC IAPD

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