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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
CO RA APPROVED 2021-01-27
TX RA APPROVED_RES 2014-05-06
NJ RA APPROVED 2013-01-10
  • CO RA
    APPROVED
    Since 2021-01-27
  • TX RA
    APPROVED_RES
    Since 2014-05-06
  • NJ RA
    APPROVED
    Since 2013-01-10

Branch Locations

250 Pehle Ave Ste 500 Park 80 West, Plaza Two, Saddle Brook, NJ 07663 • United States

Wayne, NJ • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Saddle Brook NJ 11/2012 03/2020
Ameriprise Financial Services, Llc Saddle Brook NJ 03/2020 Present
Previous Registrations
  • 2009-06-01 → 2012-10-25
    Paramus, NJ
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Paramus, NJ
  • 2002-06-20 → 2007-04-02
    Morgan Stanley Dw Inc.
    Paramus, NJ
    Paramus, NJ
Other Businesses

Business Ownership; Bramwellworth Associates LLC; Renting Property/Investments; Rental Property/Investments; 22 Wheeler Rd., , Wayne, NJ, 07470; Investment-Related; 03/01/2001; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; Doden Associates LLC; To be added as an authorized check writer on the Business Bank Account.; 1104 Hale Drive, , Wharton , NJ, 07885; Investment-Related; 04/01/2024; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1997-11-17
  • S66 Uniform Combined State Law Examination
    1997-11-17
Other Names
  • Brian J Pomarlen

View on SEC IAPD

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