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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
CT RA APPROVED 2026-08-20
NY RA APPROVED 2025-03-20
  • CT RA
    APPROVED
    Since 2026-08-20
  • NY RA
    APPROVED
    Since 2025-03-20

Branch Locations

Stamford, CT • United States

427 Bedford Rd Ste 110, Pleasantville, NY 10570 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Llc Pleasantville NY 10/2024 Present
Sportime Clubs Llc Mamaroneck NY 01/2015 05/2021
Sportime Clubs Llc Mamaroneck NY 07/2022 10/2024
Self-Employed Mamaroneck NY 06/2021 06/2022
  • 10/2024 → Present
    Pleasantville, NY
  • 01/2015 → 05/2021
    Sportime Clubs Llc
    Mamaroneck, NY
  • 07/2022 → 10/2024
    Sportime Clubs Llc
    Mamaroneck, NY
  • 06/2021 → 06/2022
    Self-Employed
    Mamaroneck, NY
Other Businesses

Outside Employment; Sportime Clubs LLC; I work occasionally as a tennis coach for Sportime Clubs LLC, averaging 1.5 to 3 hours per week (outside business hours). However, the schedule is not consistent, and there are weeks when I don't coach at all.; I work occasionally as a tennis coach for Sportime Clubs LLC, averaging 1.5 to 3 hours per week (outside business hours). However, the schedule is not consistent, and there are weeks when I don't coach at all.; 1 Boston Post Rd, , Harbor Island Park, Mamaroneck, NY, 10543; Not Investment-Related; 03/22/2025; 10 to 19 hours per month; 0 during trading hours. Other Business Activities; Ropcaf; Blog; 268 Greenwich, , Stamford, CT, 06902; Not Investment-Related; 06/01/2018; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-03-15
  • S66 Uniform Combined State Law Examination
    2025-03-15
Other Names
  • Jc Franco
  • Juan Franco
  • Juan Carlos Franco

View on SEC IAPD

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