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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 2024-07-02
PA RA APPROVED 2023-06-09
  • TX RA
    APPROVED
    Since 2024-07-02
  • PA RA
    APPROVED
    Since 2023-06-09

Branch Locations

Erie, PA • United States

Erie, PA • 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 Erie PA 06/2022 Present
Lakeshore Country Club Fairview PA 06/2017 05/2022
Iroquois School District Erie PA 08/2022 Present
Edinboro University Of Pennsylvania Edinboro PA 08/2019 08/2019
Edinboro University Of Pennsylvania Edinboro PA 08/2019 05/2022
Mcdowell High School Erie PA 08/2015 06/2019
Unemployed Erie PA 05/2022 06/2022
  • 06/2022 → Present
    Erie, PA
  • 06/2017 → 05/2022
    Lakeshore Country Club
    Fairview, PA
  • 08/2022 → Present
    Iroquois School District
    Erie, PA
  • 08/2019 → 08/2019
    Edinboro University Of Pennsylvania
    Edinboro, PA
  • 08/2019 → 05/2022
    Edinboro University Of Pennsylvania
    Edinboro, PA
  • 08/2015 → 06/2019
    Mcdowell High School
    Erie, PA
  • 05/2022 → 06/2022
    Unemployed
    Erie, PA
Other Businesses

Board of Directors; Junior Achievement of Western PA Board; Board Member; 90 Emerson Lane, Suite 1403, Bridgeville, PA, 15017; Not Investment-Related; 08/04/2025; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; Loose Tetuan Dunn Bergdahl & Associates; Associate Financial Advisor of the practice.; Manage advisory business; 1704 W. 26th St. , , Erie, PA, 16508; Investment-Related; 06/14/2023; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-06-05
  • S66 Uniform Combined State Law Examination
    2023-06-05
Other Names
  • John Douglas Pulice
  • John D Pulice

View on SEC IAPD

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