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Ophelia Swen

Ameriprise Financial Services, LLC

Cupertino, CA

San Jose, CA

CRD 7335644

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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 2026-08-05
CA RA APPROVED 2026-07-27
  • TX RA
    APPROVED
    Since 2026-08-05
  • CA RA
    APPROVED
    Since 2026-07-27

Branch Locations

Cupertino, CA • United States

225 W Santa Clara St Ste 1600, San Jose, CA 95113-1723 • 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
Cairn Wealth Advisors Campbell CA 03/2021 05/2026
Lpl Financial Llc Campbell CA 07/2021 05/2026
Keycon Mountain View CA 10/2018 03/2021
Hrc Fertility Pasadena CA 01/2018 10/2018
Corinthian Parking Services Campbell CA 10/2017 05/2018
Unemployed Cupertino CA 06/2016 10/2017
Ameriprise Financial Services, Llc San Jose CA 07/2026 Present
  • 03/2021 → 05/2026
    Cairn Wealth Advisors
    Campbell, CA
  • 07/2021 → 05/2026
    Lpl Financial Llc
    Campbell, CA
  • 10/2018 → 03/2021
    Keycon
    Mountain View, CA
  • 01/2018 → 10/2018
    Hrc Fertility
    Pasadena, CA
  • 10/2017 → 05/2018
    Corinthian Parking Services
    Campbell, CA
  • 06/2016 → 10/2017
    Unemployed
    Cupertino, CA
  • 07/2026 → Present
    Ameriprise Financial Services, Llc
    San Jose, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-05-09
  • S66 Uniform Combined State Law Examination
    2026-05-09
Other Names
  • Ophelia Swen

View on SEC IAPD

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