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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
MN RA APPROVED 2016-07-08
  • MN RA
    APPROVED
    Since 2016-07-08

Branch Locations

901 3Rd Ave S, Minneapolis, MN 55402-3367 • 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. Minneapolis MN 04/2016 03/2020
La Casita Mexican Restaurant Columbia Heights MN 04/2016 07/2016
Sports Clips-Lake Calhoun Minneapolis MN 04/2016 11/2016
Punchbowl Social St. Louis Park MN 11/2016 12/2016
Mermaid Sports Bar And Event Center Mounds View MN 01/2017 01/2018
American Enterprise Investment Services Inc. Minneapolis MN 11/2022 Present
Ameriprise Financial Services, Llc Minneapolis MN 03/2020 Present
  • 04/2016 → 03/2020
    Ameriprise Financial Services, Inc.
    Minneapolis, MN
  • 04/2016 → 07/2016
    La Casita Mexican Restaurant
    Columbia Heights, MN
  • 04/2016 → 11/2016
    Sports Clips-Lake Calhoun
    Minneapolis, MN
  • 11/2016 → 12/2016
    Punchbowl Social
    St. Louis Park, MN
  • 01/2017 → 01/2018
    Mermaid Sports Bar And Event Center
    Mounds View, MN
  • 11/2022 → Present
    American Enterprise Investment Services Inc.
    Minneapolis, MN
  • 03/2020 → Present
    Minneapolis, MN
Other Businesses

Name of Activity: 350 First; Date Activity Started/Modified/Ended: 8/16/2022; Type of Activity: Hospitality; Role/Relationship: Employee; Responsibilities: Provide an exceptional dining experience-server/waitress; Total Hours Per Month: 21 - 40; Total Hours Per Month During Trading Hours: 21 - 40; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No; --- END ---

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-07-01
  • S66 Uniform Combined State Law Examination
    2016-07-01

View on SEC IAPD

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