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Alex Jeffrey Herman

Ameriprise Financial Services, LLC

West Chester, OH

West Chester, OH

CRD 7602650

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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 2025-09-24
OH RA APPROVED 2023-07-12
  • TX RA
    APPROVED_RES
    Since 2025-09-24
  • OH RA
    APPROVED
    Since 2023-07-12

Branch Locations

9100 Centre Pointe Drive Suite 180, West Chester, OH 45069 • United States

West Chester, OH • 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, Llc West Chester OH 07/2022 04/2024
Macy's Inc. Cincinnati OH 06/2015 04/2017
Macy's Inc. Cincinnati OH 04/2017 07/2020
Macy's Inc. Cincinnati OH 07/2020 07/2022
Ameriprise Financial Services, Llc West Chester OH 04/2024 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-07-11
  • S66 Uniform Combined State Law Examination
    2023-07-11
Other Names
  • Aj Herman

View on SEC IAPD

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