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Ameriprise Financial Services, LLC CRD 6363
$660B regulatory AUM 124,349 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-01-30 |
| NY | RA | APPROVED | 2024-01-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Greenwich | CT | 11/2017 | 04/2020 |
| Fredrick Capital Management | Redding | CT | 06/2014 | 11/2017 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 02/2018 | 04/2020 |
| Round Rock Advisors, Llc | Wilton | CT | 04/2020 | 07/2022 |
| Ameriprise Financial Services, Llc | Great Neck | NY | 08/2022 | 12/2023 |
| Ameriprise Financial Services, Llc | New York | NY | 01/2024 | Present |
Outside Employment; MMM Consulting Group, LLC; as an Ameriprise AFA; Manage advisory business; 500 N. Broadway, Suite 144, Jericho, NY, 11754; Investment-Related; 01/22/2024; 60 hours per month; 40 to 59 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-10-17 |
| S66 | Uniform Combined State Law Examination | 2018-01-29 |
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