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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
TX RA APPROVED 2025-09-17
WI RA APPROVED 1996-12-06
  • TX RA
    APPROVED
    Since 2025-09-17
  • WI RA
    APPROVED
    Since 1996-12-06

Branch Locations

23 W Humbird St, Rice Lake, WI 54868 • United States

Rice Lake, WI • 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, Llc Rice Lake WI 03/2020 Present
Ameriprise Financial Services, Inc. Duluth MN 09/1996 03/2020
Other Businesses

Real Estate Ownership; Commercial; 23 West Humbird Street, Rice Lake, WI 54868, ,; ; . Business Ownership; KBBG LLC; ; LLC Owns office building; 23 West Humbird StreetRice Lake WI 54868, ,; ; 01/01/2008; 0 hours per month; .

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-12-05
  • S63 Uniform Securities Agent State Law Examination
    1996-12-05
Designations
  • Certified Financial Planner

View on SEC IAPD

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