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Ameriprise Financial Services, LLC CRD 6363
$660B regulatory AUM 124,349 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2020-10-09 |
| TX | RA | APPROVED_RES | 2020-10-09 |
Branch Locations
25A Hanover Rd Ste 103, Florham Park, NJ 07932 • United States
Short Hills, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Short Hills | NJ | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Short Hills | NJ | 11/2016 | 10/2020 |
| Ameriprise Financial Services, Llc | Florham Park | NJ | 10/2020 | Present |
Outside Employment; David F Light, Sole Proprietorship; Financial Advisor; Manage advisory business; 25A Hanover Road, Suite 103, Florham Park, NJ, 07932; Investment-Related; 10/15/2020; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-02-08 |
| S63 | Uniform Securities Agent State Law Examination | 1980-04-14 |
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