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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_RES 2023-05-01
CA RA APPROVED 2020-11-04
  • TX RA
    APPROVED_RES
    Since 2023-05-01
  • CA RA
    APPROVED
    Since 2020-11-04

Branch Locations

462 S Marengo Ave, Pasadena, CA 91101 • United States

Azusa, CA • 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 Pasadena CA 11/2018 Present
Cvs Pharmacy Glendora CA 02/2017 11/2018
Citrus College Glendora CA 09/2016 01/2017
Other Businesses

Outside Employment; JM Frederich Group Inc; Registered Team Member/AFA; Manage advisory business; 462 S Marengo Ave, , Pasadena, CA, 91101; Not Investment-Related; 11/27/2018; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-02
  • S66 Uniform Combined State Law Examination
    2020-11-02

View on SEC IAPD

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