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Ameriprise Financial Services, LLC CRD 6363
$660B regulatory AUM 124,349 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-10-09 |
Branch Locations
125 Water St Ste A-3, Santa Cruz, CA 95060 • United States
San Jose, CA • United States
99 Pacific St Ste 400, Monterey, CA 93940-2470 • United States
1905 The Alameda, San Jose, CA 95126 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc | Los Altos | CA | 08/2016 | 02/2018 |
| Charles Schwab Bank | Los Altos | CA | 08/2016 | 02/2018 |
| Ameriprise Financial Services, Llc | Palo Alto | CA | 08/2020 | 01/2021 |
| Homemaker | Campbell | CA | 03/2018 | 08/2019 |
| Unison Investment Management | San Francisco | CA | 09/2019 | 04/2020 |
| Unemployed | Campbell | CA | 05/2020 | 07/2020 |
| Ameriprise Financial Services, Llc | San Jose | CA | 02/2021 | 10/2023 |
| Homemaker | San Jose | CA | 11/2023 | 09/2024 |
| Ameriprise Financial Services, Llc | San Jose | CA | 10/2024 | Present |
Other Business Activities; Buie Commercial Corporation; Buie Commercial Corp originated from a family real estate business, but exists today because it holds one real estate loan on a property. I am to be listed as the Chief Financial Officer, however there will be minimal if any hours spent on this activity.; 1578 Robsheal Dr, , San Jose, CA, 95125; Investment-Related; 10/22/2025; 0 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-01-11 |
| S63 | Uniform Securities Agent State Law Examination | 2020-11-16 |
| S66 | Uniform Combined State Law Examination | 2013-11-11 |
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