Alan Federico

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2015 → 12/2022
  Rbc Capital Markets, Llc
  Philadelphia, PA
• 12/2022 → 12/2022
  Ameriprise Financial Services
  Philadelphia, PA
• 03/2020 → 03/2020
  Ameriprise Financial Services, Llc
  Philadelphia, PA
• 12/2022 → Present
  Ameriprise Financial Services, Llc.
  Philadelphia, PA

Previous Registrations

• 2015-06-11 → 2022-12-22
  Rbc Capital Markets, Llc
  Philadelphia, PA

Other Businesses

Business Ownership; Bullyard Sound LLC; Owner; Manage Ameriprise Business; 2038 Bullyard Sound Way, , Awendaw, SC, 29429; Investment-Related; 03/03/2025; 1 to 9 hours per month; 0 during trading hours. Board of Directors; TAR Network Board of DIrectors; Board Member; 3440 Hollywood Blvd, , Hollywood, FL, 33021; Not Investment-Related; 12/15/2023; 1 to 9 hours per month; 0 during trading hours / ECMCS Governing Board; Parent Board Member; 1120 Rifle Range Road, , Mount Pleasant, SC, 29464; Not Investment-Related; 05/01/2026; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Bullyard Sound LLC; Owner; Manage advisory business; 2038 Bullyard Sound Way, , Awendaw, SC, 29429; Investment-Related; 03/03/2025; 0 hours per month; 0 during trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-06-11
• S63 Uniform Securities Agent State Law Examination
  2014-04-14

Designations

• Certified Financial Planner

Other Names

• Aj Federico
• Alan David Federico