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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
MT RA APPROVED 1998-03-03
  • MT RA
    APPROVED
    Since 1998-03-03

Branch Locations

1324 Central Ave W, Great Falls, MT 59404 • United States

Great Falls, MT • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Great Falls MT 08/1996 03/2020
Ameriprise Financial Services, Llc Great Falls MT 03/2020 Present
Other Businesses

Other Business Activities; American Legion Department of Montana Finance Committee; I have been asked by the American Legion Department of Montana to serve as a Finance Committee member (one of 7 people). This committee is headed up by the Finance Director, a member of the Board, who completes all financial transactions on behalf of the Department. My membership is not involved in the handling of any finances for the district, just to serve as member reviewing the finances of the department. I will not be compensated for this activity and it will require two, in-person, meetings per year with ad hoc virtual meetings as necessary to review any upcoming expenditures for the department.; PO Box 155, , Fort Harrison, MT, 59636; Not Investment-Related; 04/15/2024; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-02-10
S63 Uniform Securities Agent State Law Examination 1996-10-05
  • S65 Uniform Investment Adviser Law Examination
    1998-02-10
  • S63 Uniform Securities Agent State Law Examination
    1996-10-05

View on SEC IAPD

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