Wai Ka Au

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2022 → Present
  Ameriprise Financial Services, Llc
  York, PA
• 01/2022 → 05/2022
  Volvo Group
  Middletown, PA
• 10/2016 → 08/2021
  Dutch Apple Dinner Theatre
  Lancaster, PA
• 08/2018 → 05/2022
  Pennsylvania State University
  Harrisburg, PA
• 08/2005 → 06/2018
  Hempfield School District
  Lancaster, PA

Other Businesses

Outside Employment; LPPO, LLC; Financial Advisor/Investment Manager; Legal entity under 12.2 for practice management; 3995 E Market Street, , York, PA, 17402; Investment-Related; 09/13/2022; 60 hours per month; 60 during trading hours / WIX Auto Detailing LLC; Co-owner; Automobile Detailing; 350 Springton Way, , Lancaster, PA, 17601; Not Investment-Related; 03/28/2026; 10 to 19 hours per month; 0 during trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2022-10-25