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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 2017-11-17
MN RA APPROVED 2013-11-26
  • TX RA
    APPROVED
    Since 2017-11-17
  • MN RA
    APPROVED
    Since 2013-11-26

Branch Locations

212 Lady Slipper Ave Ne, New Prague, MN 56071-0337 • United States

7101 York Ave S Ste 200, Edina, MN 55435 • United States

New Prague, 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. New Prague MN 02/2007 03/2020
Ameriprise Financial Services, Llc New Prague MN 03/2020 Present
Other Businesses

Real Estate Ownership; Commercial; 212 Lady Slipper Ave. NENew Prague, MN 56071Commerical Building , ,; ; 08/20/2012. Business Ownership; New Prague Advisors, LLC; ; LLC used to owner commerical real estate.; 212 Lady Slipper Ave. NENew Prague, MN 56071, ,; ; 08/20/2012; 1 to 9 hours per month; . Board of Directors; St Wencelasus School Advisory Council; Advisory Council Member; 227 Main St. E, , New Prague, MN, 56071; Not Investment-Related; 08/24/2023; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-08-24
S63 Uniform Securities Agent State Law Examination 2005-03-14
  • S65 Uniform Investment Adviser Law Examination
    2006-08-24
  • S63 Uniform Securities Agent State Law Examination
    2005-03-14
Designations
  • Certified Financial Planner
  • Chartered Financial Consultant

View on SEC IAPD

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