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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2020-04-20 |
| UT | RA | APPROVED | 2020-04-20 |
Branch Locations
60 E South Temple St Ste 950, Salt Lake City, UT 84111-1004 • United States
Salt Lake City, UT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network, Llc | Cottonwood Heights | UT | 07/2013 | 04/2020 |
| Ameriprise Financial Services, Llc | Midvale | UT | 04/2020 | Present |
Business Ownership; BTM Holdings; I am the founder and president.; BTM Holdings is my S Corp that was established in 2013. It was established in order for me to run my practice on the Wells Fargo Advisors independent ("Finet") channel. I left Wells Fargo Advisors in April 2020 in order to join Ameriprise. I need to keep my BTM Holdings account open at Wells Fargo in order to receive any remaining compensation. My tax advisor has also advised me to keep BTM Holdings for a number of years. However, there will be no activity under BTM Holdings, going forward. It will simply file a brief tax return annually.; 3804 Adonis Dr, , Salt Lake City, UT, 84124; Investment-Related; 07/13/2013; 0 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-26 |
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