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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
IA RA APPROVED 2009-04-06
WI RA APPROVED 2008-01-11
  • IA RA
    APPROVED
    Since 2009-04-06
  • WI RA
    APPROVED
    Since 2008-01-11

Branch Locations

903 Commerce Dr, Decorah, IA 52101 • United States

Onalaska, WI • 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. Decorah IA 10/2007 03/2020
Ameriprise Financial Services, Llc Decorah IA 03/2020 Present
Other Businesses

Business Ownership; Ghost In My House Studio; ; Music Production Studio; 217 6th Ave NorthOnalaska, WI 54650, ,; ; ; 10 to 19 hours per month; / Rearview Mirror Inc.; ; LLC for a Musical Group that is currently inactive.; 217 6th Ave North Onalaska, WI 54650, ,; ; ; 0 hours per month; . Other Business Activities; Musical Performance; Performance of live music; Varies, ,; ; 10/05/2010; 10 to 19 hours per month; / Mattoverse; Music Production, Podcast, Electronics Effects & Instruments Manufacturing; 909 Lake St, , Onalaska, WI, 54650; Not Investment-Related; 02/01/2016; 10 to 19 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-01-10
  • S66 Uniform Combined State Law Examination
    2008-01-10

View on SEC IAPD

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