Kimberly Dawn Neal

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
TX	RA	APPROVED_RES	2019-05-07
CA	RA	APPROVED	2001-06-15

TX RA
APPROVED_RES

Since 2019-05-07
CA RA
APPROVED

Since 2001-06-15

Branch Locations

3401 Centre Lake Drive Suite 670, Ontario, CA 91761-1207 • United States

Claremont, CA • 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.	Upland	CA	09/2005	03/2020
Ameriprise Financial Services, Llc	Upland	CA	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Upland, CA
03/2020 → Present

Ameriprise Financial Services, Llc

Upland, CA

Other Businesses

Outside Employment; Mission Partnership Group LLC; None, employee on payroll; Manage advisory business; 3401 Centre Lake Dr., Suite 670, Ontario, CA, 91761; Investment-Related; 01/01/2023; 40 to 59 hours per month; 40 to 59 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-06-08
S63	Uniform Securities Agent State Law Examination	1997-08-04

S66 Uniform Combined State Law Examination

2001-06-08
S63 Uniform Securities Agent State Law Examination

1997-08-04

Other Names

Kimberly Dawn Anthony
Kimberly Dawn Anthony

View on SEC IAPD