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Gregory M Whalen

Ameriprise Financial Services, LLC

Minneapolis, MN

St Louis Park, MN

CRD 6549918

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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
TX RA APPROVED_RES 2019-08-21
MN RA APPROVED 2016-02-22
  • TX RA
    APPROVED_RES
    Since 2019-08-21
  • MN RA
    APPROVED
    Since 2016-02-22

Branch Locations

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

St Louis Park, 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 08/2015 03/2020
Ameriprise Financial Services, Llc Minneapolis MN 03/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-12-30
S63 Uniform Securities Agent State Law Examination 2015-11-25
  • S65 Uniform Investment Adviser Law Examination
    2015-12-30
  • S63 Uniform Securities Agent State Law Examination
    2015-11-25

View on SEC IAPD

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