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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
IA RA APPROVED 2026-01-02
TX RA APPROVED_RES 2019-01-17
NE RA APPROVED 2018-09-19
  • IA RA
    APPROVED
    Since 2026-01-02
  • TX RA
    APPROVED_RES
    Since 2019-01-17
  • NE RA
    APPROVED
    Since 2018-09-19

Branch Locations

2525 Kimberly Rd Ste 2, Bettendorf, IA 52722-3538 • United States

11819 Miracle Hills Dr Ste 101, Omaha, NE 68154 • United States

Omaha, NE • United States

Disclosures

1 disclosure category 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 No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Financial Network Llc Omaha NE 05/2009 11/2016
Ameriprise Financial Services, Inc. Omaha NE 11/2016 03/2020
Ameriprise Financial Services, Llc Omaha NE 03/2020 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Financial Network Llc
    Omaha, NE
  • 11/2016 → 03/2020
    Ameriprise Financial Services, Inc.
    Omaha, NE
  • 03/2020 → Present
    Omaha, NE
Previous Registrations
Other Businesses

Outside Employment; Flagship Partners; AFA - Duties of an AFA; ; 11819 Miracle Hills Dr Ste 101, , Omaha, NE, 68154; Investment-Related; 06/01/2022; 40 to 59 hours per month; 20 to 39 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-09-14
  • S66 Uniform Combined State Law Examination
    2018-09-14
Other Names
  • Barbara Jean Dakins

View on SEC IAPD

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