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Ameriprise Financial Services, LLC CRD 6363
$660B regulatory AUM 124,349 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-12-01 |
| TX | RA | APPROVED_RES | 2023-12-01 |
Branch Locations
3327 Old Conejo Rd, Newbury Park, CA 91320 • United States
Newbury Park, CA • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 06/2011 | 12/2023 |
| Ameriprise Financial Services, Llc | Thousand Oaks | CA | 12/2023 | Present |
Real Estate Ownership; Single Family; 375 donlin road, , newbury park, CA, 91320; Not Investment-Related; 10/30/2021. Business Ownership; SHERFINA PROPERTIES LLC; Owner; Real Estate; 3327 Old conejo road, , newbury park , CA, 91320; Not Investment-Related; 04/29/2024; 1 to 9 hours per month; 0 during trading hours / Sherfina Advisors, INC; Owner; Manage Ameriprise Business; 3327 old conejo road, , newbury park, CA, 91320; Investment-Related; 12/11/2024; 40 to 59 hours per month; 20 to 39 during trading hours. Board of Directors; Carden Conejo; Board Member; 106 west janss road, , thousand oaks, CA, 91360; Not Investment-Related; 09/02/2025; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Sherfina Advisors; Owner; Manage advisory business; 3327 old conejo road, , Newbury Park, CA, 91320; Investment-Related; 12/18/2024; 1 to 9 hours per month; 1 to 9 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-11-05 |
| S63 | Uniform Securities Agent State Law Examination | 2008-09-24 |
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