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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
FL RA APPROVED 2018-08-20
IL RA APPROVED 1998-04-01
  • FL RA
    APPROVED
    Since 2018-08-20
  • IL RA
    APPROVED
    Since 1998-04-01

Branch Locations

6870 Rote Rd Ste 102, Rockford, IL 61107-2690 • United States

220 Nocatee Village Dr, Ponte Vedra, FL 32081 • United States

Ponte Vedra Beach, FL • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Rockford IL 09/2005 03/2020
Ameriprise Financial Services, Llc Ponte Vedra FL 03/2020 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-02-25
  • S66 Uniform Combined State Law Examination
    1998-02-25

View on SEC IAPD

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