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Steven Katz

Ameriprise Financial Services, LLC

Lindenhurst, NY

Hauppauge, NY

CRD 2568829

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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
NY RA APPROVED 2025-12-18
  • NY RA
    APPROVED
    Since 2025-12-18

Branch Locations

Lindenhurst, NY • United States

1174 Veterans Memorial Hwy, Hauppauge, NY 11788 • 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
Edward Jones St Louis MO 02/2012 12/2025
Ameriprise Financial Services Llc Hauppauge NY 12/2025 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-10
S63 Uniform Securities Agent State Law Examination 1995-06-27
  • S65 Uniform Investment Adviser Law Examination
    1998-01-10
  • S63 Uniform Securities Agent State Law Examination
    1995-06-27
Other Names
  • Steven Brian Katz
  • Steven Katz
  • Steven B Katz

View on SEC IAPD

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