Akash Gupta

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

Authority	Category	Status	Date
TX	RA	APPROVED	2021-02-11

TX RA
APPROVED

Since 2021-02-11

Branch Locations

8034 Highway 90A Ste 100, Sugar Land, TX 77478 • United States

19627 Interstate 45 Ste 300, Spring, TX 77388 • United States

Houston, TX • 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, Llc	Sugar Land	TX	09/2020	Present
Avm Subway, Llc	Sugar Land	TX	04/2008	10/2019
Avm Strategy, Inc	Sugar Land	TX	01/2016	Present
Flood, Kallus, Yen & Gupta, Pllc	Spring	TX	10/2019	Present

09/2020 → Present

Ameriprise Financial Services, Llc

Sugar Land, TX
04/2008 → 10/2019

Avm Subway, Llc

Sugar Land, TX
01/2016 → Present

Avm Strategy, Inc

Sugar Land, TX
10/2019 → Present

Flood, Kallus, Yen & Gupta, Pllc

Spring, TX

Other Businesses

Real Estate Ownership; Commercial; 19627 IH-45 North, , Spring, TX, 77388; Not Investment-Related; 10/25/2019. Business Ownership; AVM Strategy, Inc; CPA; Consulting; 19627 Interstate 45 North, Suite 300, , Spring, TX, 77388; Not Investment-Related; 01/01/2016; 1 to 9 hours per month; 0 during trading hours / Flood, Kallus, Yen & Gupta, PLLC; CPA; Tax Preparation; 19627 Interstate 45 North, Suite 300, , Spring, TX, 77388; Not Investment-Related; 10/25/2019; 10 to 19 hours per month; 1 to 9 during trading hours / AVM Development Inc; Owner; Taken Loan from SBA EIDL and invested in a note which pays interest and principal from an unrelated party. Borrower of the note is Neeru Enterprises, Inc. That company owns a restaurant business.; 19627 IH-45 North , Ste 300, Spring, TX, 77388; Investment-Related; 08/17/2011; 0 hours per month; 0 during trading hours / AVM Florida, LLC; Co-owner; Real Estate; 1935 Apalachee Parkway, , Tallahasee, FL, 32301; Not Investment-Related; 01/24/2012; 0 hours per month; 0 during trading hours. Outside Employment; Flood, Kallus, Yen & Gupta, PLLC; Managing Member - CPA Owner; ; 19627 Interstate 45 North, Suite 300, , Spring, TX, 77388; Not Investment-Related; 10/24/2019; 10 to 19 hours per month; 1 to 9 during trading hours.