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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2010-03-11
CO RA APPROVED 2009-10-05
  • TX RA
    APPROVED_RES
    Since 2010-03-11
  • CO RA
    APPROVED
    Since 2009-10-05

Branch Locations

1738 Pearl St Suite 300, Boulder, CO 80302-5525 • United States

Niwot, CO • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Boulder CO 10/2009 03/2020
Ameriprise Financial Services, Inc. Boulder CO 10/2009 03/2020
Ameriprise Financial Services, Llc Boulder CO 03/2020 Present
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Boulder, CO
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Boulder, CO
  • 03/2020 → Present
    Boulder, CO
Previous Registrations
  • 2004-07-12 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Boulder, CO
    Boulder, CO
  • 2003-02-28 → 2004-07-14
    Ronin Asset Management
    Boulder, CO
  • 2001-11-23 → 2002-06-07
    Morgan Stanley Dw Inc.
    Boulder, CO
Other Businesses

Real Estate Ownership; Single Family; 4658 Whiterock circle #11 Boulder co, 80301, ,; Not Investment-Related; 05/20/2013 / Single Family; 6138 habitat dr Boulder, co 80301, ,; Not Investment-Related; 06/01/2013. Business Ownership; Normark, LLC; Co-owner; Manage Ameriprise Business; 8127 ALFALFA CT, , NIWOT, CO, 80503; Not Investment-Related; 01/01/2024; 1 to 9 hours per month; 1 to 9 during trading hours. Fiduciary Activities.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-06-13
  • S66 Uniform Combined State Law Examination
    2001-06-13
Other Names
  • Daniel Schultz
  • Brian Schultz

View on SEC IAPD

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