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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 2024-05-14
NH RA APPROVED 2015-12-11
  • TX RA
    APPROVED_RES
    Since 2024-05-14
  • NH RA
    APPROVED
    Since 2015-12-11

Branch Locations

288 S River Rd Bldg C Unit 1, Bedford, NH 03110 • United States

Amherst, NH • 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. Bedford NH 12/2015 03/2020
Ameriprise Financial Services, Llc Bedford NH 03/2020 Present
Previous Registrations
  • 2008-08-29 → 2015-12-14
    Merrimack, NH
    St Louis, MO
    Manchester, NH
    Manchester, NH
Other Businesses

Other Business Activities; Subletting space; Advisor in my office in paying rent for usage of space.; 288 S RIVER RD, , BEDFORD, NH, 03110; Not Investment-Related; 02/15/2024; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-08-14
  • S66 Uniform Combined State Law Examination
    2008-08-14
Other Names
  • Joshua Chabot

View on SEC IAPD

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