Katherine Joan Larlee

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
VA	RA	APPROVED	2019-08-21
KY	RA	APPROVED	2006-01-03

VA RA
APPROVED

Since 2019-08-21
KY RA
APPROVED

Since 2006-01-03

Branch Locations

Goshen, KY • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Louisville	KY	09/2005	03/2020
Ameriprise Financial Services, Llc	Goshen	KY	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Louisville, KY
03/2020 → Present

Ameriprise Financial Services, Llc

Goshen, KY

Other Businesses

Business Ownership; KALAS LLC; Member; This will be used for business expenses of expenses of Ameriprise practice / OSJ.; 12309 Warner Dr.Goshen, KY 40026, ,; Not Investment-Related; 09/02/2013; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; KALAS, LLC; Member - Member; ; 12309 Warner Drive, , Goshen, KY, 40026; Not Investment-Related; 01/01/2014; 1 to 9 hours per month; 0 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-12-02
S63	Uniform Securities Agent State Law Examination	1995-04-13

S66 Uniform Combined State Law Examination

2004-12-02
S63 Uniform Securities Agent State Law Examination

1995-04-13

Other Names

Katherine J Larlee
Katherine Walts

View on SEC IAPD