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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 2006-09-28
MD RA APPROVED 1994-08-15
  • TX RA
    APPROVED_RES
    Since 2006-09-28
  • MD RA
    APPROVED
    Since 1994-08-15

Branch Locations

1122 Kenilworth Dr Ste 410, Towson, MD 21204-2148 • United States

Baltimore, MD • United States

Disclosures

2 disclosure categories 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 Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Towson MD 09/2005 03/2020
Ameriprise Financial Services, Llc Towson MD 03/2020 Present
Other Businesses

Business Ownership; M G Brown & Associates, Inc.; ; Consulting; 1122 Kenilworth Drive, Suite 410Towson, Maryland 21204, ,; ; ; 0 hours per month; .

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-11-02
S65 Uniform Investment Adviser Law Examination 1994-07-18
  • S63 Uniform Securities Agent State Law Examination
    1994-11-02
  • S65 Uniform Investment Adviser Law Examination
    1994-07-18

View on SEC IAPD

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