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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 2008-08-25
IL RA APPROVED 2004-07-13
  • TX RA
    APPROVED_RES
    Since 2008-08-25
  • IL RA
    APPROVED
    Since 2004-07-13

Branch Locations

303 E Wacker Dr Ste 1575, Chicago, IL 60601 • United States

Chicago, IL • 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
Ameriprise Financial Services, Inc. Chicago IL 02/2004 03/2020
Ameriprise Financial Services, Llc Chicago IL 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 2001 E Camino Parocela #F40, , Palm Spring, CA, 92264; Not Investment-Related; 03/31/2020. Business Ownership; LyonSpring Inc; Co-owner; Financial Advice; 303 E. Wacker Suite 1575, Chicago, IL 60601, , Chicago, IL, 60607; Not Investment-Related; 06/24/2026; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Be Strong Families NFP; Board Member; 1555 Sherman #103Evanston, IL 60201, ,; Not Investment-Related; 02/17/2014; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; LyonSpring Inc.; Co-owner; Manage advisory business; 303 E Wacker Ste 1575, , Chicago, IL, 60601; Investment-Related; 06/24/2026; 40 to 59 hours per month; 20 to 39 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-14
  • S66 Uniform Combined State Law Examination
    2004-05-14
Other Names
  • Kenneth Krantz
  • Kenneth Paul Krantz

View on SEC IAPD

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