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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 2022-08-10
OH RA APPROVED 1999-09-18
  • TX RA
    APPROVED_RES
    Since 2022-08-10
  • OH RA
    APPROVED
    Since 1999-09-18

Branch Locations

67 Marydale Dr Ste A, Beavercreek, OH 45440 • United States

Beavercreek, OH • 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
Ameriprise Financial Services, Inc. Miamisburg OH 05/1993 03/2020
Ameriprise Financial Services Llc Beavercreek OH 05/1993 Present
Other Businesses

Real Estate Ownership; Single Family; 11 Tanglewood Drive, , Hilton Head, SC, 29928; Investment-Related; 11/20/2023. Business Ownership; Clearsprings LLC; Co-owner; Real Estate; 170 Southway Drive, , Beavercreek, OH, 45440; Investment-Related; 10/01/2020; 0 hours per month; 0 during trading hours. Board of Directors; St. Vincent DePaul; investment committee; 120 W Apple St, Dayton, OH 45402, ,; ; 03/09/2017; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2001-10-25
  • S63 Uniform Securities Agent State Law Examination
    2001-10-25
Other Names
  • Fran Boyd

View on SEC IAPD

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