Best Investors Account Sign in
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 2017-09-22
IA RA APPROVED 2017-07-10
  • TX RA
    APPROVED_RES
    Since 2017-09-22
  • IA RA
    APPROVED
    Since 2017-07-10

Branch Locations

9 Plaza Dr Ste 6, Clear Lake, IA 50428 • United States

2625 N Loop Dr Ste 2200, Ames, IA 50010 • United States

8951 Windsor Pkwy, Johnston, IA 50131-2566 • United States

Boone, IA • 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
Tiaa-Cref Individual & Institutional Services, Llc Ames IA 05/2009 06/2017
Tiaa Ames IA 05/2009 06/2017
Ameriprise Financial Services Inc Ames IA 06/2017 03/2020
Ameriprise Financial Services, Llc Ames IA 03/2020 Present
Previous Registrations
Other Businesses

Outside Employment; Integrity Point LLC; I am an employee. I am a Financial Advisor.; Manage advisory business; 8951 Windsor Pkwy, , Johnston, IA, 50131; Investment-Related; 01/01/2025; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-08-02
S63 Uniform Securities Agent State Law Examination 1998-08-27
  • S65 Uniform Investment Adviser Law Examination
    2000-08-02
  • S63 Uniform Securities Agent State Law Examination
    1998-08-27
Other Names
  • Colette Marie Mcgivney
  • Colette Marie Rutherford

View on SEC IAPD

Nearby Firms

Nearby Investors

Nearby Offices

More in Clear Lake, IA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor