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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 2025-02-18
OH RA APPROVED 2024-07-18
  • TX RA
    APPROVED_RES
    Since 2025-02-18
  • OH RA
    APPROVED
    Since 2024-07-18

Branch Locations

Mason, OH • United States

22 W 9Th St, Cincinnati, OH 45202 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fidelity Brokerage Services, Inc. Covington KY 07/1996 07/2017
Strategic Advisers Covington KY 03/2001 07/2017
U.S. Bancorp Investments, Inc. Cincinnati OH 11/2018 05/2019
U.S. Bank Cincinnati OH 11/2018 04/2019
Kings Ford Inc Mason OH 02/2018 10/2018
Popyachts Inc Milford OH 10/2017 02/2018
Brookstone Capital Management Mason OH 11/2019 04/2023
Jd Mellberg Financial Mason OH 05/2019 04/2023
Mml Investors Services, Llc Cincinnati OH 05/2023 06/2024
Massmutual Insurance Company Cincinnati OH 04/2023 06/2024
Ideal Concepts Inc Mason OH 06/2022 05/2023
Ameriprise Financial Services, Llc Cincinnati OH 07/2024 Present
  • 07/1996 → 07/2017
    Fidelity Brokerage Services, Inc.
    Covington, KY
  • 03/2001 → 07/2017
    Strategic Advisers
    Covington, KY
  • 11/2018 → 05/2019
    Cincinnati, OH
  • 11/2018 → 04/2019
    U.S. Bank
    Cincinnati, OH
  • 02/2018 → 10/2018
    Kings Ford Inc
    Mason, OH
  • 10/2017 → 02/2018
    Popyachts Inc
    Milford, OH
  • 11/2019 → 04/2023
    Brookstone Capital Management
    Mason, OH
  • 05/2019 → 04/2023
    Jd Mellberg Financial
    Mason, OH
  • 05/2023 → 06/2024
    Cincinnati, OH
  • 04/2023 → 06/2024
    Massmutual Insurance Company
    Cincinnati, OH
  • 06/2022 → 05/2023
    Ideal Concepts Inc
    Mason, OH
  • 07/2024 → Present
    Cincinnati, OH
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-06-09
S66 Uniform Combined State Law Examination 2001-02-05
  • S63 Uniform Securities Agent State Law Examination
    2023-06-09
  • S66 Uniform Combined State Law Examination
    2001-02-05
Other Names
  • Steve Allen Horsley

View on SEC IAPD

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