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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 2025-02-07
NY RA APPROVED 2021-04-16
  • TX RA
    APPROVED_RES
    Since 2025-02-07
  • NY RA
    APPROVED
    Since 2021-04-16

Branch Locations

401 Franklin Ave Ste 101 & Ste 103, Garden City, NY 11530 • United States

Woodmere, NY • 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
Pruco Securities, Llc. Uniondale NY 09/2016 11/2020
The Prudential Insurance Company Of America Uniondale NY 09/2016 11/2020
Ameriprise Financial Services, Llc Jericho NY 11/2020 Present
  • 09/2016 → 11/2020
    Pruco Securities, Llc.
    Uniondale, NY
  • 09/2016 → 11/2020
    The Prudential Insurance Company Of America
    Uniondale, NY
  • 11/2020 → Present
    Jericho, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-08-06
  • S66 Uniform Combined State Law Examination
    2004-08-06
Other Names
  • Aron Adam Mestel

View on SEC IAPD

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