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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
CA RA APPROVED 2022-08-08
  • CA RA
    APPROVED
    Since 2022-08-08

Branch Locations

Chico, CA • United States

250 Vallombrosa Ave Suite 370, Chico, CA 95926-3976 • United States

Chico, CA • 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
Massmutual Life Insurance Company Roseville CA 03/2014 08/2022
Mml Investors Services Llc Roseville CA 03/2014 08/2022
Ameriprise Financial Services, Llc Chico CA 08/2022 Present
Previous Registrations
Other Businesses

Independent Insurance Brokering; Mass Mutual Life Insurance company; 03/12/2014; Disability Income. Business Ownership; RST Management Corporation; Owner; Manage Ameriprise Business; 466 E. 2nd Ave, Suite, Chico, CA, 95926; Investment-Related; 12/22/2025; 60 hours per month; 60 during trading hours. Board of Directors; Boys and Girls Club of the North Valley; Chico board member; 601 Wall Street, , Chico, CA, 95928; Not Investment-Related; 06/15/2021; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; Blue Oaks Management, LLC; Advisor with Blue Oaks Management, LLC an Ameriprise Financial Franchise; Ameriprise Financial Advisory Firm; 2619 Forest Ave Suite 140, , Chico, CA, 95928; Investment-Related; 05/08/2025; 60 hours per month; 60 during trading hours / RST Management Corporation; Owner; Manage advisory business; 466 E. 2nd Ave, , Chico, CA, 95926; Investment-Related; 01/01/2026; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-09-09
S63 Uniform Securities Agent State Law Examination 2008-03-21
  • S65 Uniform Investment Adviser Law Examination
    2020-09-09
  • S63 Uniform Securities Agent State Law Examination
    2008-03-21
Other Names
  • Ryan Thomas

View on SEC IAPD

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