Lisa Ann Brislin

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-04-29
ME	RA	APPROVED	2013-11-01

TX RA
APPROVED_RES

Since 2024-04-29
ME RA
APPROVED

Since 2013-11-01

Branch Locations

10 Market Street Ste 305, Scarborough, ME 04074-7683 • United States

Buxton, ME • 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 Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Portland	ME	10/2013	03/2020
Ameriprise Financial Services, Llc	Scarborough	ME	03/2020	Present

10/2013 → 03/2020

Ameriprise Financial Services, Inc.

Portland, ME
03/2020 → Present

Ameriprise Financial Services, Llc

Scarborough, ME

Previous Registrations

2007-02-09 → 2013-10-25

Ubs Financial Services Inc.

Portland, ME

Portland, ME
2007-02-07 → 2007-02-09

Keybanc Capital Markets Inc.

Portland, ME

Portland, ME

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-02-05
S63	Uniform Securities Agent State Law Examination	2000-03-02

S66 Uniform Combined State Law Examination

2007-02-05
S63 Uniform Securities Agent State Law Examination

2000-03-02

Other Names

Lisa Ann Karki

View on SEC IAPD