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William Thomas Philipps

Ameriprise Financial Services, LLC

Dickson City, PA

Shohola, PA

CRD 6155617

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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
PA RA APPROVED 2013-07-16
  • PA RA
    APPROVED
    Since 2013-07-16

Branch Locations

851 Commerce Blvd Ste 106, Dickson City, PA 18519-1762 • United States

Shohola, PA • 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. Dickson City PA 01/2013 03/2020
Ameriprise Financial Services, Llc Dickson City PA 03/2020 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-07-15
  • S66 Uniform Combined State Law Examination
    2013-07-15
Other Names
  • William William Philipps

View on SEC IAPD

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