Lee Francis Tracy

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-10-26
MN	RA	APPROVED	2014-02-03

TX RA
APPROVED_RES

Since 2018-10-26
MN RA
APPROVED

Since 2014-02-03

Branch Locations

205 8Th Ave. Se, Pipestone, MN 56164-2120 • United States

Pipestone, MN • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Mankato	MN	11/1993	03/2020
Ameriprise Financial Services, Llc	Pipestone	MN	03/2020	Present

11/1993 → 03/2020

Ameriprise Financial Services, Inc.

Mankato, MN
03/2020 → Present

Ameriprise Financial Services, Llc

Pipestone, MN

Other Businesses

Real Estate Ownership; Commercial; 205 8th Avenue SE Pipestone, MN 56164 OFFICE BUILDING, ,; Not Investment-Related; 12/01/2001.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1993-12-23

S63 Uniform Securities Agent State Law Examination

1993-12-23

View on SEC IAPD

Employer firm

Current Employers

Ameriprise Financial Services, Llc

Disclosures

Employment History

Other Businesses

Exams

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