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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 2024-10-04
MN RA APPROVED 2022-05-31
  • TX RA
    APPROVED_RES
    Since 2024-10-04
  • MN RA
    APPROVED
    Since 2022-05-31

Branch Locations

753 Ameriprise Financial Ctr, Minneapolis, MN 55474-0007 • United States

Arden Hills, MN • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Llc Minneapolis MN 02/2022 Present
Unemployed St Paul MN 09/2021 02/2022
Dropcap Inc Minneapolis MN 01/2021 09/2021
Unemployed St Paul MN 08/2020 01/2021
Aramark Woodbury MN 11/2018 08/2020
Milkjam Creamery Minneapolis MN 03/2015 11/2018
  • 02/2022 → Present
    Minneapolis, MN
  • 09/2021 → 02/2022
    Unemployed
    St Paul, MN
  • 01/2021 → 09/2021
    Dropcap Inc
    Minneapolis, MN
  • 08/2020 → 01/2021
    Unemployed
    St Paul, MN
  • 11/2018 → 08/2020
    Aramark
    Woodbury, MN
  • 03/2015 → 11/2018
    Milkjam Creamery
    Minneapolis, MN
Other Businesses

Business Ownership; Chef Sean Christopher Little; Chef / Sole Operator; Small catering operation providing private chef experiences.; 179 McKnight Rd N #311, , St Paul, MN, 55119; Not Investment-Related; 02/16/2017; 1 to 9 hours per month; 0 during trading hours / 75 Productions; Owner and sole operator; Purchase and sale of internet domain names; 179 McKnight Rd N #311, , St Paul, MN, 55119; Not Investment-Related; 08/11/2020; 1 to 9 hours per month; 1 to 9 during trading hours / FlavorMaze; Owner; Consulting; 1934 Edgewater Ave, , Arden Hills, MN 55112-7902, MN, 55112; Not Investment-Related; 03/17/2025; 10 to 19 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-05-19
  • S66 Uniform Combined State Law Examination
    2022-05-19
Other Names
  • Sean Little

View on SEC IAPD

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