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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
IN RA APPROVED 2007-03-20
  • IN RA
    APPROVED
    Since 2007-03-20

Branch Locations

7517 Eagle Crest Blvd, Evansville, IN 47715 • United States

Evansville, IN • 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, Inc. Evansville IN 01/2007 03/2020
Ameriprise Financial Services, Llc Evansville IN 03/2020 Present
Previous Registrations
Other Businesses

Outside Employment; Hayes,Powers and Associates LLC.; paraplanner -; To manage practice operations; 7517 Eagle Crest Blvd, ,; Not Investment-Related; 02/15/2017; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-09-29
  • S66 Uniform Combined State Law Examination
    2005-09-29

View on SEC IAPD

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