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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
TN RA APPROVED 2004-02-26
  • TN RA
    APPROVED
    Since 2004-02-26

Branch Locations

109 S Northshore Dr Ste 302A, Knoxville, TN 37919 • United States

5235 W Andrew Johnson Hwy, Morristown, TN 37814 • United States

Knoxville, TN • 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. Knoxville TN 09/2005 03/2020
Ameriprise Financial Service, Llc Knoxville TN 08/2001 Present
  • 09/2005 → 03/2020
    Ameriprise Financial Services, Inc.
    Knoxville, TN
  • 08/2001 → Present
    Ameriprise Financial Service, Llc
    Knoxville, TN
Other Businesses

Real Estate Ownership; Single Family; Condo, ,; ; . Business Ownership; Williams & Wright Family Partnership; Passive Member; Real Estate; 800 Brentwoood Dr, , Morristown, TN, 37814; Investment-Related; 01/01/1994; 0 hours per month; 0 during trading hours. Other Business Activities; Forest Heights HOA; Street Rep and Board Member. This is an informal HOA. You do not have to belong. My role would be to greet new people who move into the neighborhood and help organize neighborhood activities; There is no formal address, ,; Not Investment-Related; 12/17/2018; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-01-17
  • S66 Uniform Combined State Law Examination
    2002-01-17

View on SEC IAPD

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