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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
MN RA APPROVED 2013-11-23
TX RA APPROVED_RES 2006-10-03
  • MN RA
    APPROVED
    Since 2013-11-23
  • TX RA
    APPROVED_RES
    Since 2006-10-03

Branch Locations

715 Old Hwy 8 Nw, New Brighton, MN 55112 • United States

Maple Grove, MN • 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. New Brighton MN 03/1994 03/2020
Ameriprise Financial Services, Llc New Brighton MN 03/2020 Present
Other Businesses

Real Estate Ownership; Commercial; 715 Old Highway 8 NWNew Brighton, MN 55112, ,; ; 12/01/2007. Business Ownership; Brighton Advisor Inc. LLC; ; Office real estate ownership; 715 Old Highway 8 NWNew Brighton MN 55112, ,; ; 12/01/2007; 1 to 9 hours per month; . Other Business Activities; Volunteer; I help lead people each February to Mexico on a Missions Trip to build homes through Youth With a Mission (YWAM); 715 Old Highway 8 NWNew Brighton, MN 55112, ,; ; 04/26/2016; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-06-06
S63 Uniform Securities Agent State Law Examination 1993-12-15
  • S65 Uniform Investment Adviser Law Examination
    1997-06-06
  • S63 Uniform Securities Agent State Law Examination
    1993-12-15
Designations
  • Certified Financial Planner

View on SEC IAPD

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