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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_RES 2016-01-26
CA RA APPROVED 2010-06-22
  • TX RA
    APPROVED_RES
    Since 2016-01-26
  • CA RA
    APPROVED
    Since 2010-06-22

Branch Locations

205 E El Segundo Blvd, El Segundo, CA 90245 • United States

Torrance, 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
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Los Angeles CA 03/2010 03/2020
Ameriprise Financial Services, Llc El Segundo CA 03/2020 Present
Other Businesses

Real Estate Ownership; Commercial; 201 - 207 E. El Segundo Blvd. El Segundo, CA 90245, ,; Investment-Related; 11/12/2018. Business Ownership; Lucy Jane 18 LLC; Landlord; Landlord/commercial rental real estate.; 201 - 207 E. El Segundo Blvd.El Segundo, CA 90245, ,; Investment-Related; 11/12/2018; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Lighthouse Community Church; Board Member; 501 Van Ness Ave.,, , Torrance, CA, 90501; Not Investment-Related; 04/15/2003; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; Lighthouse Community Church; Pastor/ Elder; 501 Van Ness Ave., , Torrance, CA, 90501; Not Investment-Related; 04/15/2003; 10 to 19 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-06-21
  • S66 Uniform Combined State Law Examination
    2010-06-21
Designations
  • Certified Financial Planner

View on SEC IAPD

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