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Nicholas Raymond Powers

Ameriprise Financial Services, LLC

Mishawaka, IN

Galien, MI

CRD 6027467

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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
MI RA APPROVED 2013-07-22
IN RA APPROVED 2013-07-18
  • MI RA
    APPROVED
    Since 2013-07-22
  • IN RA
    APPROVED
    Since 2013-07-18

Branch Locations

3340 Hickory Rd, Mishawaka, IN 46545 • United States

Galien, MI • 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. Mishawaka IN 03/2012 03/2020
Ameriprise Financial Services, Llc Mishawaka IN 03/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-07-16
S63 Uniform Securities Agent State Law Examination 2013-04-15
  • S65 Uniform Investment Adviser Law Examination
    2013-07-16
  • S63 Uniform Securities Agent State Law Examination
    2013-04-15
Other Names
  • Nicholas Powers
  • Nicholas Raymond Powers

View on SEC IAPD

Nearby Firms

UBS FINANCIAL SERVICES INC.
ROSENTHAL | HENRY CAPITAL ADVISORS, INC.
ROBERT W. BAIRD & CO. INCORPORATED

Nearby Investors

BARBARA LYNN WOLFE
DANIEL DOUGLAS ARNOLD
RAYMOND SAMUEL BYERS

Nearby Offices

UBS FINANCIAL SERVICES INC. · MISHAWAKA, IN
ROSENTHAL | HENRY CAPITAL ADVISORS, INC. · MISHAWAKA, IN
ROBERT W. BAIRD & CO. INCORPORATED · Mishawaka, IN

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