Thomas Pettinger Shortreed

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

• 09/2005 → 03/2020
  Ameriprise Financial Services, Inc.
  Cortland, OH
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Cortland, OH

Other Businesses

Real Estate Ownership; Commercial; 3378 State Route NE , , Cortland, OH, 44410; Not Investment-Related; 07/14/2006. Business Ownership; Thomas P Shortreed & Associates LLC; Owner; Office Building and structure for my financail planning practice at Ameriprise; 3378 St Rt 5, , Cortland, OH, 44410; Investment-Related; 04/01/2011; 20 to 39 hours per month; 20 to 39 during trading hours / Personality Profiles LLC to DBA as Financial Psychology Company; Own and operate company; Profiling system to help advisors better understand their clients relationship with money, risk, and trust; 115 Kensington Lane, , Warren, OH, 44484; Not Investment-Related; 12/18/2020; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams

• S63 Uniform Securities Agent State Law Examination
  1999-07-05