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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
NY RA APPROVED 2021-04-16
  • NY RA
    APPROVED
    Since 2021-04-16

Branch Locations

530 5Th Ave 10Th Floor, New York, NY 10036 • United States

New York, NY • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. New York City NY 11/2013 03/2020
Ameriprise Financial Services, Llc New York NY 03/2020 Present
Other Businesses

Other Business Activities; Financial Planning Association Media Resource; I am approved as a media source for the FPA when the media needs individuals to respond to media questions; 7535 E. Hampden Ave. Suite #600 Denver, CO 80231, ,; ; 12/23/2016; 0 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-04-01
S63 Uniform Securities Agent State Law Examination 1996-03-19
  • S65 Uniform Investment Adviser Law Examination
    1996-04-01
  • S63 Uniform Securities Agent State Law Examination
    1996-03-19
Designations
  • Certified Financial Planner
  • Personal Financial Specialist

View on SEC IAPD

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