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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_RES 2009-02-19
DE RA APPROVED 1998-01-01
  • TX RA
    APPROVED_RES
    Since 2009-02-19
  • DE RA
    APPROVED
    Since 1998-01-01

Branch Locations

224 E Delaware Ave Ste 104, Newark, DE 19711-4607 • United States

Newark, DE • 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, Inc. Newark DE 09/2005 03/2020
Ameriprise Financial Services, Llc Newark DE 03/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-06-25
S63 Uniform Securities Agent State Law Examination 1997-05-30
  • S65 Uniform Investment Adviser Law Examination
    1997-06-25
  • S63 Uniform Securities Agent State Law Examination
    1997-05-30

View on SEC IAPD

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