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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 2026-01-05
MN RA APPROVED 2024-07-18
  • TX RA
    APPROVED
    Since 2026-01-05
  • MN RA
    APPROVED
    Since 2024-07-18

Branch Locations

753 Ameriprise Financial Ctr, Minneapolis, MN 55474-0007 • United States

Eagan, 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
Riversource Distributors, Inc. Minneapolis MN 07/2019 01/2024
Total Wine Eagan MN 05/2018 01/2019
Sherwin Williams Eagan MN 06/2016 09/2016
Full Time Student Eagan MN 04/2009 06/2019
Ameriprise Financial Services, Llc Minneapolis MN 01/2024 Present
  • 07/2019 → 01/2024
    Riversource Distributors, Inc.
    Minneapolis, MN
  • 05/2018 → 01/2019
    Total Wine
    Eagan, MN
  • 06/2016 → 09/2016
    Sherwin Williams
    Eagan, MN
  • 04/2009 → 06/2019
    Full Time Student
    Eagan, MN
  • 01/2024 → Present
    Minneapolis, MN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-07-05
S63 Uniform Securities Agent State Law Examination 2024-06-14
  • S65 Uniform Investment Adviser Law Examination
    2024-07-05
  • S63 Uniform Securities Agent State Law Examination
    2024-06-14
Other Names
  • Thomas Lavin

View on SEC IAPD

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