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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
NJ RA APPROVED 2020-08-14
TX RA APPROVED 2020-08-14
  • NJ RA
    APPROVED
    Since 2020-08-14
  • TX RA
    APPROVED
    Since 2020-08-14

Branch Locations

The Atrium Ste 390 80 E Rt 4, Paramus, NJ 07652-2647 • United States

Upper Saddle River, NJ • 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
Wells Fargo Advisors Llc Paramus NJ 03/2011 08/2020
Ameriprise Financial Services, Llc Paramus NJ 08/2020 Present
Previous Registrations
Other Businesses

Business Ownership; Aspen Enterprises; Zero. This is a LLC we opened 18 years ago when my wife and i were building/managing RE. We have carry loss forward. there is no day to day responsibilities. My wife handles the books.; RE Management pass through from an active business that is now not active at all.; 17 Hemlock Hill Road, , Upper Saddle River, NJ, 07458; Not Investment-Related; 08/31/2001; 0 hours per month; 0 during trading hours. Outside Employment; CMA 92, LLC; Associate Financial Advisor - Financial Advisor; Manage advisory business; 80 Route 4 East Suite 390, , Paramus, NJ, 7652; Investment-Related; 02/15/2024; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-07-14
  • S66 Uniform Combined State Law Examination
    2011-07-14

View on SEC IAPD

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