Sergio A. Modernel

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	2017-09-07
NJ	RA	APPROVED	2002-09-10

TX RA
APPROVED_RES

Since 2017-09-07
NJ RA
APPROVED

Since 2002-09-10

Branch Locations

101 Crawfords Corner Rd Ste 1311, Holmdel, NJ 07733 • United States

Chester, NJ • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	East Brunswick	NJ	09/2005	03/2020
Ameriprise Financial Services, Llc	Holmdel	NJ	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

East Brunswick, NJ
03/2020 → Present

Ameriprise Financial Services, Llc

Holmdel, NJ

Other Businesses

Business Ownership; Xcelerate Growth LLC; Co-owner; Manage Ameriprise Business; 101 Crawfords Corner Road, Suite 1311, HOLMDEL, NJ, 07733; Investment-Related; 07/30/2025; 10 to 19 hours per month; 1 to 9 during trading hours / First Nest LLC; Owner; Real Estate; 5 Patrey Court, , Chester, NJ, 07930; Not Investment-Related; 03/30/2026; 10 to 19 hours per month; 0 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-09-09
S63	Uniform Securities Agent State Law Examination	2002-04-05

S65 Uniform Investment Adviser Law Examination

2002-09-09
S63 Uniform Securities Agent State Law Examination

2002-04-05

View on SEC IAPD