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Judy Lynn Little

Ameriprise Financial Services, LLC

Raleigh, NC

Sunset Beach, NC

CRD 4709017

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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
TX RA APPROVED_RES 2023-01-05
SC RA APPROVED 2021-05-12
NC RA APPROVED 2003-11-10
  • TX RA
    APPROVED_RES
    Since 2023-01-05
  • SC RA
    APPROVED
    Since 2021-05-12
  • NC RA
    APPROVED
    Since 2003-11-10

Branch Locations

183 Wind Chime Court Ste 202, Raleigh, NC 27624-7624 • United States

Sunset Beach, NC • 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
Ameriprise Financial Services, Inc. Raleigh NC 09/2005 03/2020
Ameriprise Financial Services, Llc Raleigh NC 03/2020 Present
Other Businesses

Real Estate Ownership; Lot/Land; 226 Davenport Farm Road, , Greenville, NC, 27858; Not Investment-Related; 04/30/2021.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-11-08
  • S66 Uniform Combined State Law Examination
    2003-11-08

View on SEC IAPD

Nearby Firms

TOWNSEND ASSET MANAGEMENT CORP.
FORTRESS PRIVATE LEDGER, LLC
OLDE RALEIGH FINANCIAL GROUP

Nearby Investors

ARNE W MORRIS
JAMES MICHAEL TARKENTON
CALEB ROBERT GRIFFITH

Nearby Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC

More in Raleigh, NC

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