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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 2018-03-02
MN RA APPROVED 2013-11-18
  • TX RA
    APPROVED
    Since 2018-03-02
  • MN RA
    APPROVED
    Since 2013-11-18

Branch Locations

11671 Fountains Dr Ste 215, Maple Grove, MN 55369 • United States

Hanover, MN • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. New Brighton MN 07/2001 03/2020
Ameriprise Financial Services, Llc Maple Grove MN 03/2020 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-08-17
  • S66 Uniform Combined State Law Examination
    2001-08-17
Designations
  • Certified Financial Planner

View on SEC IAPD

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