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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2022-02-16 |
| NY | RA | APPROVED | 2021-04-16 |
| CA | RA | APPROVED | 2021-01-21 |
| TX | RA | APPROVED_RES | 2019-03-11 |
Branch Locations
530 5Th Ave 10Th Floor, New York, NY 10036 • United States
New York, NY • United States
Hallandale Beach, FL • United States
1 disclosure category 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | New York | NY | 07/1992 | 03/2019 |
| Morgan Stanley Smith Barney | New York | NY | 06/2009 | 03/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 03/2019 |
| American Financial Services, Inc | Manhattan | NY | 03/2019 | 03/2020 |
| Ameriprise Financial Services, Llc | Manhattan | NY | 03/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-20 |
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