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Nicholas Griffin

Ameriprise Financial Services, LLC

Rochester, MN

CRD 7385516

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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
MN RA APPROVED 2024-03-11
  • MN RA
    APPROVED
    Since 2024-03-11

Branch Locations

4115 26Th Street Nw (P2A) Suite 100, Rochester, MN 55901 • 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 Rochester MN 05/2021 Present
Avra Hospitality - Hilton Garden Inn Rochester MN 07/2018 04/2021
Raymond Management - Hampton Inn And Suites Rochester MN 06/2014 07/2018
Unemployed Rochester MN 04/2021 05/2021
  • 05/2021 → Present
    Ameriprise Financial Services, Llc
    Rochester, MN
  • 07/2018 → 04/2021
    Avra Hospitality - Hilton Garden Inn
    Rochester, MN
  • 06/2014 → 07/2018
    Raymond Management - Hampton Inn And Suites
    Rochester, MN
  • 04/2021 → 05/2021
    Unemployed
    Rochester, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-03-08
  • S66 Uniform Combined State Law Examination
    2024-03-08
Other Names
  • Nick Griffin
  • Nicholas John Griffin

View on SEC IAPD

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