Herbert Joseph Poledna

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2015 → 01/2017
  Massachusetts Mutual Life Insurance Company
  Dallas, TX
• 02/2016 → 01/2017
  Mml Investor Services, Llc
  Dallas, TX
• 02/2017 → 03/2020
  Ameriprise Financial Advisors Inc.
  Plano, TX
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Mckinney, TX

Previous Registrations

• 2016-03-23 → 2017-01-20
  Mml Investors Services, Llc
  Dallas, TX
  San Antonio, TX
  Dallas, TX
• 2012-09-27 → 2016-01-08
  Ameriprise Financial Services, Llc
  Mckinney, TX
• 1998-09-24 → 2010-11-03
  Ameriprise Financial Services, Llc
  Dallas, TX
  Southlake, TX
  Dallas, TX

Other Businesses

Outside Employment; Windfall Profit, LLC; I am the Practice Manager of Encircle Wealth Advisors owned by Franchisee Sam Thornal. I primarily do the research, construction and documentation for the Encircle Wealth Advisors Investment Portfolios at Sam's direction, as well as other tasks, such as preparing documentation for awards and recognition submission.; Manage advisory business; 8751 Collin McKinney Parkway, Suite 302, McKinney, TX, 75070; Investment-Related; 09/21/2021; 60 hours per month; 60 during trading hours.

Exams

• S63 Uniform Securities Agent State Law Examination
  1998-09-21

Other Names

• Herbert Joseph Poledna
• Herbert Joseph Poledna