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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 2014-07-23
FL RA APPROVED 1988-04-28
  • TX RA
    APPROVED_RES
    Since 2014-07-23
  • FL RA
    APPROVED
    Since 1988-04-28

Branch Locations

1 Daytona Blvd Ste 270 Fl 2Nd, Daytona Beach, FL 32114 • 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 Orlando FL 03/2020 Present
Ameriprise Financial Services, Llc Daytona Beach FL 03/2020 Present
American Express Financial Advisors Inc. Boston MA 03/1988 03/2020
Other Businesses

Business Ownership; Rae Enterprises Inc; Owner; Manage Ameriprise Business; 2425 S Atlantic Ave, Apt 1201B, Daytona Beach Shores, FL, 32118; Not Investment-Related; 06/15/2021; 0 hours per month; 0 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-05-25
  • S63 Uniform Securities Agent State Law Examination
    1988-05-25
Other Names
  • Dirinda Rae Tefft

View on SEC IAPD

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