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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
WA RA APPROVED 2020-11-05
  • WA RA
    APPROVED
    Since 2020-11-05

Branch Locations

201 W North River Dr Ste 625, Spokane, WA 99201 • United States

Spokane, WA • 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, Llc Renton WA 10/2020 Present
Acf West Woodinville WA 07/2017 02/2021
Bothell High School/Central Washington University Bothell/Ellensburg WA 09/2010 06/2017
  • 10/2020 → Present
    Renton, WA
  • 07/2017 → 02/2021
    Acf West
    Woodinville, WA
  • 09/2010 → 06/2017
    Bothell High School/Central Washington University
    Bothell/Ellensburg, WA
Other Businesses

Outside Employment; Heritage Wealth Advisors LLC; Employee; Manage advisory business; 2630 77th Ave SE, Suite 110, Mercer Island, WA, 98040; Investment-Related; 10/01/2025; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-10-05
S63 Uniform Securities Agent State Law Examination 2020-06-06
  • S65 Uniform Investment Adviser Law Examination
    2020-10-05
  • S63 Uniform Securities Agent State Law Examination
    2020-06-06

View on SEC IAPD

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