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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
WI RA APPROVED 2010-10-27
  • WI RA
    APPROVED
    Since 2010-10-27

Branch Locations

111 24Th Street S Ste 101, Wisconsin Rapids, WI 54494-1907 • United States

Wisc Rapids, WI • United States

Disclosures

1 disclosure category 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 Yes
  • 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. Wisconsin Rapids WI 09/2005 03/2020
Ameriprise Financial Services, Llc Wisconsin Rapids WI 03/2020 Present
Other Businesses

Board of Directors; Building Blocks Learning; Member; 2210 Baker Street Wisconsin Rapids, WI 54494, ,; Not Investment-Related; 09/14/2011; 1 to 9 hours per month; 1 to 9 during trading hours / First Congregational Church, UCC; Member; 311 Second Street South, , Wisconsin Rapids, WI, 54494; Not Investment-Related; 10/10/2021; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-04-12
  • S66 Uniform Combined State Law Examination
    2003-04-12
Other Names
  • Suzanne Marie Weinbauer
  • Suzanne Marie Pilger

View on SEC IAPD

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