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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 2026-02-04
WI RA APPROVED 2019-09-30
MN RA APPROVED 2017-08-10
  • TX RA
    APPROVED_RES
    Since 2026-02-04
  • WI RA
    APPROVED
    Since 2019-09-30
  • MN RA
    APPROVED
    Since 2017-08-10

Branch Locations

12435 55Th St N Ste A, Lake Elmo, MN 55042 • United States

3600 Minnesota Dr Ste 550, Edina, MN 55435-7925 • United States

7100 Northland Circle N Ste 102, Brooklyn Park, MN 55428 • United States

Hammond, WI • 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. Lake Elmo MN 08/2015 03/2020
Ameriprise Financial Services, Llc Lake Elmo MN 03/2020 Present
Other Businesses

Board of Directors; St Croix Select Volleyball Club; Treasurer; 1295 Vine St, , Hammond, WI, 54015; Not Investment-Related; 01/01/2023; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-08-01
  • S66 Uniform Combined State Law Examination
    2017-08-01
Other Names
  • Samantha Elizabeth Sweet

View on SEC IAPD

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