Richard Victor Finco

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

• 01/2007 → 04/2017
  M&I Brokerage Services Inc
  Milwaukee, WI
• 01/2007 → 04/2017
  M&I Insurance Services
  Milwaukee, WI
• 01/2007 → 04/2017
  M&I Trust Company
  Milwaukee, WI
• 07/2011 → 04/2017
  Bmo Harris Bank Na
  Milwaukee, WI
• 08/2012 → 04/2017
  Bmo Harris Financial Advisors, Inc.
  Hartland, WI
• 04/2017 → 03/2020
  Ameriprise Financial Services Inc.
  Brookfield, WI
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Oconomowoc, WI

Previous Registrations

• 2012-08-01 → 2017-04-12
  Bmo Harris Financial Advisors, Inc.
  Oconomowoc, WI
  Hartland, WI
  Saukville, WI
  Oconomowoc, WI
• 2007-01-25 → 2012-08-01
  M&I Financial Advisors, Inc
  Hartland, WI
  Oconomowoc, WI
• 2010-04-27 → 2012-04-18
  M&I Investment Management Corp.
  Milwaukee, WI
• 2003-07-28 → 2007-01-18
  On Investment Management Co
  Brookfield, WI

Other Businesses

Independent Insurance Brokering; One America State Life; 12/31/2008; . Business Ownership; RVF Enterprises LLC; Member; Manage Ameriprise Business; 1464, Rain Dance Trail, Nekoosa, WI, 54457; Investment-Related; 03/15/2024; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Terrace VI Babcock National Condominium Organization Association (COA); Treasurer; 8840 Terren CT , Suite 102, Bonita Springs , FL, 34135; Not Investment-Related; 03/14/2025; 1 to 9 hours per month; 0 during trading hours. Outside Employment; RVF Enterprises LLC; Owner; Manage advisory business; 1464 Rain Dance Trail, , Nekoosa, WI, 54457; Investment-Related; 03/10/2024; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-05-02
• S63 Uniform Securities Agent State Law Examination
  1998-10-30

Other Names

• Richard V Finco