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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 2025-04-28
FL RA APPROVED 1999-06-03
  • TX RA
    APPROVED
    Since 2025-04-28
  • FL RA
    APPROVED
    Since 1999-06-03

Branch Locations

2611 Keystone Rd Ste B2, Tarpon Springs, FL 34688 • United States

Tarpon Spgs, FL • 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, Inc. Tarpon Springs FL 09/2005 03/2020
Ameriprise Financial Services, Llc Tarpon Springs FL 03/2020 Present
Other Businesses

Board of Directors; Tampa Bay Fossil Club; Vice President, Treasurer; 594 Waterford Circle West, , Tarpon Springs, FL, 34688; Not Investment-Related; 01/01/2011; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-06-10
  • S66 Uniform Combined State Law Examination
    2003-06-10
Other Names
  • William Joseph Faucher

View on SEC IAPD

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