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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
HI RA APPROVED 2007-01-26
  • HI RA
    APPROVED
    Since 2007-01-26

Branch Locations

1585 Kapiolani Blvd Ste 1616, Honolulu, HI 96814-4524 • United States

Honolulu, HI • 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. Honolulu HI 11/2006 03/2020
Ameriprise Financial Services, Llc Honolulu HI 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 801 South St Apt 2208, , Honolulu, HI, 96813; Not Investment-Related; 12/01/2021. Board of Directors; Chinatown 808; Vice President; P.O. Box 37224, , Honolulu, HI, 96837; Not Investment-Related; 01/18/2022; 20 to 39 hours per month; 0 during trading hours. Outside Employment; Made in Hawaii Festival Transportation Site Manager; Manage parking operations and the traffic flow at a parking lot during the Made in Hawaii Festival, a large scale pop-up retail marketplace.; One-time independent contractor agreement for a paid position to manage a parking lot during the Made in Hawaii Festival for two days on Saturday, 8/22/26 and Sunday, 8/23/26.; 1009 Kapiolani Blvd #810, , Honolulu, HI, 96814; Not Investment-Related; 08/22/2026; 20 to 39 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-25
  • S66 Uniform Combined State Law Examination
    2007-01-25
Other Names
  • Sarah C Young

View on SEC IAPD

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