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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
TX RA APPROVED_RES 2025-12-22
CA RA APPROVED 2025-12-19
  • TX RA
    APPROVED_RES
    Since 2025-12-22
  • CA RA
    APPROVED
    Since 2025-12-19

Branch Locations

Colfax, CA • United States

2750 Gateway Oaks Dr Ste 340, Sacramento, CA 95833-3658 • United States

Colfax, CA • 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
OrganizationCityStateFromTo
Massmutual Life Insurance Roseville CA 01/2020 12/2025
Mml Investors Services, Llc Roseville CA 02/2020 12/2025
Clavis Mill Valley CA 10/2016 12/2019
Bloomberg Lp San Francisco CA 05/2011 09/2016
Ameriprise Financial Services, Llc Sacramento CA 12/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-05-02
  • S66 Uniform Combined State Law Examination
    2020-05-02
Other Names
  • James Feliz
  • James Arthur Feliz

View on SEC IAPD

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