Alicia Kay Ellis

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2012 → 11/2018
  Cuso Financial Services, Lp
  San Diego, CA
• 01/2012 → 11/2018
  Texas Bay Credit Union
  Houston, TX
• 12/2018 → 03/2022
  Cuna Brokerage Services
  Waverly, IA
• 12/2018 → 03/2022
  Cuna Mutual Group
  Waverly, IA
• 03/2022 → Present
  Ameriprise Financial Services, Llc
  Pasadena, TX

Previous Registrations

• 2018-12-11 → 2022-03-24
  Cuna Brokerage Services, Inc.
  Deer Park, TX
  Pasadena, TX
  Houston, TX
  Houston, TX
  Friendswood, TX
• 2012-01-23 → 2018-11-20
  Cuso Financial Services, L.P.
  Houston, TX
  Pasadena, TX
  Houston, TX
  San Diego, CA
  League City, TX
  League City, TX
  Houston, TX
  Katy, TX
  Cypress, TX
• 2010-07-19 → 2012-01-24
  Cuna Brokerage Services, Inc.
  Houston, TX
  Houston, TX
  Pasadena, TX

Other Businesses

Outside Employment; Shell Federal Credit Union; Financial Advisor - Meeting with credit union members as a Financial Advisor; Credit Union; 301 E 13th St, , Deer Park, TX, 77536; Investment-Related; 03/24/2022; 60 hours per month; 60 during trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-01-09
• S63 Uniform Securities Agent State Law Examination
  2007-10-19

Other Names

• Alicia K Ellis
• Alicia Kay Ellis
• Alicia K Knape
• Alicia Kay Knape