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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
NY RA APPROVED 2021-04-16
TX RA APPROVED_RES 2012-10-22
  • NY RA
    APPROVED
    Since 2021-04-16
  • TX RA
    APPROVED_RES
    Since 2012-10-22

Branch Locations

1185 Avenue Of The Americas Fl 3, New York, NY 10036 • United States

New York, NY • 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. New York NY 09/2005 03/2020
Ameriprise Financial Services, Llc New York NY 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 6202 Greentree Rd, Bethesda, MD, 20817., ,; Investment-Related; 01/01/2017.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-11-28
  • S66 Uniform Combined State Law Examination
    2001-11-28
Designations
  • Certified Financial Planner
  • Chartered Financial Consultant
Other Names
  • Tony Yang

View on SEC IAPD

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