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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 2007-01-11
PA RA APPROVED 2003-06-28
  • TX RA
    APPROVED_RES
    Since 2007-01-11
  • PA RA
    APPROVED
    Since 2003-06-28

Branch Locations

8 E Ridge St, Lansford, PA 18232-1408 • United States

Tamaqua, PA • 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. Lansford PA 09/2005 03/2020
Ameriprise Financial Services, Llc Lansford PA 03/2020 Present
Other Businesses

Real Estate Ownership; Commercial; 8 East Ridge Street, , Lansford, PA, 18232; Not Investment-Related; 06/02/2010 / Lot/Land; 0 West White Bear Drive, , Tamaqua, PA, 18252; Not Investment-Related; 07/07/2022 / Commercial; 249 West Broad Street, , Tamaqua, PA, 18252; Not Investment-Related; 06/30/2026.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-08-20
  • S66 Uniform Combined State Law Examination
    2001-08-20

View on SEC IAPD

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