Adam John Broich

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-09-20
MN	RA	APPROVED	2016-06-27

TX RA
APPROVED_RES

Since 2023-09-20
MN RA
APPROVED

Since 2016-06-27

Branch Locations

2514 Superior Dr Nw Suite A, Rochester, MN 55901 • United States

Rochester, 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Rocehster	MN	07/2013	03/2020
Ameriprise Financial Services, Llc	Rochester	MN	03/2020	Present

07/2013 → 03/2020

Ameriprise Financial Services, Inc.

Rocehster, MN
03/2020 → Present

Ameriprise Financial Services, Llc

Rochester, MN

Other Businesses

Outside Employment; Dovetail Group LLC; 1. Registered Team Member-AFA; Manage advisory business; 6550 York Ave S, Suite 100, Edina, MN, 55435; Investment-Related; 06/01/2026; 60 hours per month; 60 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-06-17

S66 Uniform Combined State Law Examination

2016-06-17

View on SEC IAPD

Current Employers

Ameriprise Financial Services, Llc

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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