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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 2017-01-18
NC RA APPROVED 2001-12-31
  • TX RA
    APPROVED_RES
    Since 2017-01-18
  • NC RA
    APPROVED
    Since 2001-12-31

Branch Locations

183 Wind Chime Court Ste 202, Raleigh, NC 27624-7624 • United States

Raleigh, NC • 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. Raleigh NC 09/2005 03/2020
Ameriprise Financial Services, Llc Raleigh NC 03/2020 Present
Other Businesses

Board of Directors; Cardinal Grove HOA; President; Towne Properties 8305 Falls Of Neuse RoadSuite 200Raleigh, NC 27, 8305 Falls of Neuse Suite 200, Ralegih, NC, 27615; Not Investment-Related; 02/01/2009; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-09-08
  • S66 Uniform Combined State Law Examination
    2000-09-08

View on SEC IAPD

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