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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 2012-04-26
IL RA APPROVED 2009-10-05
  • TX RA
    APPROVED
    Since 2012-04-26
  • IL RA
    APPROVED
    Since 2009-10-05

Branch Locations

100 Illinois St Ste 254, St Charles, IL 60174-1867 • United States

South Elgin, IL • 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. Naperville IL 10/2009 03/2020
Ameriprise Financial Services, Inc. St Charles IL 10/2009 03/2020
Ameriprise Financial Services, Llc St Charles IL 03/2020 Present
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Naperville, IL
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    St Charles, IL
  • 03/2020 → Present
    St Charles, IL
Previous Registrations
  • 2003-06-30 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Elmwood Park, IL
    Savanna, IL
    Esthersville, IA
    Trenton, IL
    Kearney, NE
    Seymour, WI
    Lake City, MN
    Princeton, IL
    Naperville, IL
    St. Charles, IL
    Elmwood Park, IL
  • 2003-03-11 → 2003-07-10
    St. Charles, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-31
S63 Uniform Securities Agent State Law Examination 1994-09-21
  • S65 Uniform Investment Adviser Law Examination
    2001-01-31
  • S63 Uniform Securities Agent State Law Examination
    1994-09-21

View on SEC IAPD

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