Brian Joseph Caldwell

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

• 03/2009 → 03/2020
  Ameriprise Financial Services, Inc.
  Bedford, NH
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Bedford, NH

Previous Registrations

• 2004-10-20 → 2009-03-27
  Banc Of America Investment Services, Inc.
  Manchester, NH
  Manchester, NH
  Manchester, NH
  Manchester, NH
• 2003-06-18 → 2004-10-20
  Quick & Reilly, Inc.
  Goffstown, NH
• 2002-07-23 → 2003-04-16
  Ubs Financial Services Inc.
  Manchester, NH

Exams

• S66 Uniform Combined State Law Examination
  2002-07-22

Other Names

• Brian J. Caldwell