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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 2022-08-23
  • MN RA
    APPROVED
    Since 2022-08-23

Branch Locations

335 Main St S, Sauk Centre, MN 56378 • United States

Sauk Centre, 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
Cuna Brokerage Services, Inc. Waverly IA 09/2019 08/2022
Central Minnesota Cu Melrose MN 05/2010 08/2022
Lpl Financial Llc Melrose MN 05/2022 08/2022
Ameriprise Financial Services, Llc Sauk Centre MN 08/2022 Present
Previous Registrations
  • 2022-05-18 → 2022-08-29
    Melrose, MN
  • 2020-02-21 → 2022-05-18
    Cuna Brokerage Services, Inc.
    Melrose, MN
Other Businesses

Business Ownership; Main Street Theatre, Inc; No roles or responsibilities, family run business where I am part owner of.; Entertainment/Movie Theatre; 319 Main Street South, , Sauk Centre, MN, 56378; Not Investment-Related; 10/01/2012; 0 hours per month; 0 during trading hours / JKRR Properties; no roles or responsibilities; Business that own's the property of the Main Street Theatre.; 319 Main Street South, , Sauk Centre, MN, 56378; Not Investment-Related; 10/01/2012; 0 hours per month; 0 during trading hours. Board of Directors; Sauk Centre/Melrose Youth Hockey Association; Treasurer; PO Box 14, , Sauk Centre, MN, 56378; Not Investment-Related; 02/01/2022; 10 to 19 hours per month; 0 during trading hours. Outside Employment; Beste & Associates; Licensed Paraplanner - Business operations including placing trades.; ; 30 25th Ave South, Suite 101, , St. Cloud, MN, 56301; Investment-Related; 08/01/2022; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-02-20
  • S66 Uniform Combined State Law Examination
    2020-02-20

View on SEC IAPD

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