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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
HI RA APPROVED 2014-03-10
  • HI RA
    APPROVED
    Since 2014-03-10

Branch Locations

1585 Kapiolani Blvd Ste 1100, Honolulu, HI 96814-4523 • United States

Mililani, HI • 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. Honolulu HI 10/2013 03/2020
Ameriprise Financial Services, Llc Honolulu HI 03/2020 Present
Other Businesses

Business Ownership; Wela Apparel; Inventory production Social Media Marketing; Apparel; 95-679 Lewanuu St, , Mililani, HI, 96789; Not Investment-Related; 09/30/2021; 1 to 9 hours per month; 1 to 9 during trading hours / Sweet Everythings; Marketing; Food service; 95-679 Lewanuu St, , Mililani, HI, 96789; Not Investment-Related; 11/30/2020; 10 to 19 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-03-08
  • S66 Uniform Combined State Law Examination
    2014-03-08

View on SEC IAPD

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