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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
PA RA APPROVED 2020-05-01
  • PA RA
    APPROVED
    Since 2020-05-01

Branch Locations

4 Brandywine Ave, Downingtown, PA 19335 • United States

800 Philadelphia St Box 220, Indiana, PA 15701 • United States

West Chester, PA • 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Dnb First, National Association Exton PA 06/2000 05/2020
Cetera Investment Services Llc St. Cloud MN 10/2011 05/2020
Cetera Investment Advisers Llc Exton PA 01/2014 05/2020
Ameriprise Financial Services, Llc Exton PA 05/2020 Present
Previous Registrations
  • 2014-01-21 → 2020-05-01
    Exton, PA
  • 2011-10-04 → 2014-01-21
    Cetera Investment Services Llc
    Exton, PA
    Chester Springs, PA
    West Chester, PA
    Honey Brook, PA
    Coatesville, PA
    West Chester, PA
    West Chester, PA
    Downingtown, PA
    Exton, PA
  • 2002-04-02 → 2011-10-07
    Uvest Financial Services Group, Inc.
    Exton, PA
    Exton, PA
Other Businesses

Outside Employment; S&T Bank; Financial Advisor - Financial Advisor; ; 4 Brandywine Ave, , Downingtown, PA, 19335; Investment-Related; 05/01/2020; 60 hours per month; 1 to 9 during trading hours. Other Business Activities; Finance Council for St. Joseph Church; serve on finance council of church- mainly reviewing church and school budget. I am not making any investment recommendations; 332 Manor Ave, , Downingtown, PA, 19335; Not Investment-Related; 06/01/2010; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-11-29
S63 Uniform Securities Agent State Law Examination 2000-01-05
  • S65 Uniform Investment Adviser Law Examination
    2000-11-29
  • S63 Uniform Securities Agent State Law Examination
    2000-01-05
Other Names
  • Jennifer Browning
  • Jennifer Calabro
  • Jen Calabro

View on SEC IAPD

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