Karl Diebold

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
OH	RA	APPROVED	2024-07-18
TX	RA	APPROVED	2024-03-12
KY	RA	APPROVED	2023-11-16

OH RA
APPROVED

Since 2024-07-18
TX RA
APPROVED

Since 2024-03-12
KY RA
APPROVED

Since 2023-11-16

Branch Locations

740 Centre View Blvd Fl 5, Crestview Hills, KY 41017 • United States

Taylor Mill, KY • United States

113 N Hambden St, Chardon, OH 44024-1166 • 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
Horan Securities, Inc.	Cincinnati	OH	08/2007	08/2017
Unemployed	Crescent Springs	KY	09/2017	03/2018
The Prudential Insurance Company Of America	Cincinnati	OH	04/2018	04/2019
Pruco Securites Llc	Cincinnati	OH	04/2018	04/2019
U.S. Bancorp Investments, Inc.	Cincinnati	OH	04/2019	11/2023
Ameriprise Financial Services, Llc	Crestview Hills	KY	11/2023	Present

08/2007 → 08/2017

Horan Securities, Inc.

Cincinnati, OH
09/2017 → 03/2018

Unemployed

Crescent Springs, KY
04/2018 → 04/2019

The Prudential Insurance Company Of America

Cincinnati, OH
04/2018 → 04/2019

Pruco Securites Llc

Cincinnati, OH
04/2019 → 11/2023

U.S. Bancorp Investments, Inc.

Cincinnati, OH
11/2023 → Present

Ameriprise Financial Services, Llc

Crestview Hills, KY

Previous Registrations

2019-04-29 → 2023-11-17

U.S. Bancorp Investments, Inc.

Cincinnati, OH
2018-04-23 → 2019-04-30

Pruco Securities, Llc.

Cincinnati, OH
2007-11-07 → 2017-08-28

Horan Securities, Inc.

West Chester, OH

Cincinnati, OH

Fort Mitchell, KY

Cincinnati, OH

Other Businesses

Outside Employment; River Hills Consulting Services LLC; Employee; Financial Advisor; 740 CENTRE VIEW BLVD FL 5, , CRESTVIEW HILLS, KY, 41017; Investment-Related; 07/01/2024; 60 hours per month; 60 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-02-28
S63	Uniform Securities Agent State Law Examination	1996-03-19

S65 Uniform Investment Adviser Law Examination

2008-02-28
S63 Uniform Securities Agent State Law Examination

1996-03-19

Designations

Certified Financial Planner

Other Names

Karl Richard Diebold

View on SEC IAPD