Richard Anthony Caggiano

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2006-09-28
DC	RA	APPROVED	1994-02-05
VA	RA	APPROVED	1990-09-02

TX RA
APPROVED_RES

Since 2006-09-28
DC RA
APPROVED

Since 1994-02-05
VA RA
APPROVED

Since 1990-09-02

Branch Locations

Herndon, VA • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Herndon	VA	09/2005	03/2020
Ameriprise Financial Services, Llc	Herndon	VA	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Herndon, VA
03/2020 → Present

Ameriprise Financial Services, Llc

Herndon, VA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1990-07-16
S63	Uniform Securities Agent State Law Examination	1990-06-06

S65 Uniform Investment Adviser Law Examination

1990-07-16
S63 Uniform Securities Agent State Law Examination

1990-06-06

Other Names

Rick Caggiano

View on SEC IAPD