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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 2024-07-15
VA RA APPROVED 2013-02-20
  • TX RA
    APPROVED
    Since 2024-07-15
  • VA RA
    APPROVED
    Since 2013-02-20

Branch Locations

560 Neff Ave Ste 400, Harrisonburg, VA 22801-8027 • United States

Rockingham, VA • 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
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Harrisonburg VA 07/2008 03/2020
Ameriprise Financial Services, Llc Harrisonburg VA 03/2020 Present
Other Businesses

Outside Employment; Solutions to Empower, LLC; I'm an employee of the LLC; Manage advisory business; 560 Neff Avenue , Suite 400, Harrisonburg, VA, 22801; Investment-Related; 09/01/2015; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-09-06
  • S66 Uniform Combined State Law Examination
    2008-09-06
Designations
  • Certified Financial Planner

View on SEC IAPD

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