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Caitlin Ann Herbert

Ameriprise Financial Services, LLC

Minneapolis, MN

Arden Hills, MN

CRD 7318550

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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 2022-06-02
MN RA APPROVED 2021-04-19
  • TX RA
    APPROVED
    Since 2022-06-02
  • MN RA
    APPROVED
    Since 2021-04-19

Branch Locations

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

Arden Hills, 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 Llc Minneapolis MN 12/2020 Present
Bemidji State University Bemidji MN 08/2016 05/2020
Unemployed Shoreview MN 05/2020 08/2020
Robert Half Minneapolis MN 09/2020 12/2020
Bemidji State University Bemidji MN 09/2017 04/2020
Aramark Bemidji MN 01/2018 04/2018
Bemidji State University Bemidji MN 05/2018 05/2020
  • 12/2020 → Present
    Ameriprise Financial Services Llc
    Minneapolis, MN
  • 08/2016 → 05/2020
    Bemidji State University
    Bemidji, MN
  • 05/2020 → 08/2020
    Unemployed
    Shoreview, MN
  • 09/2020 → 12/2020
    Robert Half
    Minneapolis, MN
  • 09/2017 → 04/2020
    Bemidji State University
    Bemidji, MN
  • 01/2018 → 04/2018
    Aramark
    Bemidji, MN
  • 05/2018 → 05/2020
    Bemidji State University
    Bemidji, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-04-06
  • S66 Uniform Combined State Law Examination
    2021-04-06
Other Names
  • Caitlin Herbert

View on SEC IAPD

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