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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
MO RA APPROVED 1995-10-31
  • MO RA
    APPROVED
    Since 1995-10-31

Branch Locations

339 Broadway St Ste 246, Cape Girardeau, MO 63701 • United States

Cape Girardeau, MO • 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. Cape Giradardeau MD 04/2013 03/2020
Ameriprise Financial Services, Llc Cape Girardeau MO 03/2020 Present
Other Businesses

Board of Directors; Cape Girardeau Public School Foundation; Board Member; 301 N Clark Street, , Cape Girardeau, MO, 63701; Not Investment-Related; 04/09/2018; 1 to 9 hours per month; 1 to 9 during trading hours / Poplar Bluff Schools Foundation; Chairman; 1110 N. Westwood Blvd, , Poplar Bluff, MO, 63901; Not Investment-Related; 08/12/2019; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-11-26
  • S63 Uniform Securities Agent State Law Examination
    1990-11-26
Designations
  • Certified Financial Planner

View on SEC IAPD

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