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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
MN RA APPROVED 2013-11-19
TX RA APPROVED_RES 2012-05-22
  • MN RA
    APPROVED
    Since 2013-11-19
  • TX RA
    APPROVED_RES
    Since 2012-05-22

Branch Locations

753 Ameriprise Financial Ctr, Minneapolis, MN 55474-0007 • United States

Maplewood, MN • 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. Minneapolis MN 03/2012 03/2020
Ameriprise Financial Services, Llc Minneapolis MN 03/2020 Present
Other Businesses

Business Ownership; Universal Arc Studios LLC; Co-owner; Book Publishing/Game Design; 2114 Atlantic St, , Maplewood, MN, 55109; Not Investment-Related; 03/10/2025; 10 to 19 hours per month; 0 during trading hours. Other Business Activities; Vinyl Static AI Experience; I began creating music using a combination of creative writing and AI Tools. These music tracks have been uploaded to YouTube originally just to share but I have now been looking at posting the songs through distribution to sell them on Major Music Platforms such as Spotify and Apple Music.; 2114 Atlantic Street, , Maplewood, MN, 55109; Not Investment-Related; 12/20/2025; 10 to 19 hours per month; 0 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2012-04-07
  • S63 Uniform Securities Agent State Law Examination
    2012-04-07

View on SEC IAPD

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