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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
WA RA APPROVED 2024-07-03
  • WA RA
    APPROVED
    Since 2024-07-03

Branch Locations

8625 Sw Cascade Ave Ste 104, Beaverton, OR 97008 • United States

Beaverton, OR • 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
Wells Fargo Bank Na Clive IA 08/2016 07/2022
Wells Fargo Clearing Services Llc Clive IA 08/2017 07/2022
Ameriprise Financial Services, Llc Portland OR 07/2022 Present
Previous Registrations
Other Businesses

Outside Employment; The Permanence Group LLC; Employee; Manage advisory business; 8625 SW Cascade Ave, Suite 104, Beaverton, OR, 97008; Investment-Related; 01/01/2026; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-05-28
S63 Uniform Securities Agent State Law Examination 2017-11-10
  • S66 Uniform Combined State Law Examination
    2021-05-28
  • S63 Uniform Securities Agent State Law Examination
    2017-11-10

View on SEC IAPD

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