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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 2012-07-25
AL RA APPROVED 1999-03-30
  • TX RA
    APPROVED_RES
    Since 2012-07-25
  • AL RA
    APPROVED
    Since 1999-03-30

Branch Locations

Orange Beach, AL • United States

1400 Jack Warner Pkwy Ne Ste 1, Tuscaloosa, AL 35404 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Birmingham AL 09/2005 03/2020
Ameriprise Financial Services, Llc Tuscaloosa AL 03/2020 Present
Other Businesses

Business Ownership; Blessed Holdings LLC, dba HavenLeigh Salon & Wellness Spa; Owner; Please know that this is the hair salon that I have been an owner of since 2012. At the advice of my attorney and accountant, Supertantantic and Salon Mia Bella closed on paper 12/31/13. I was approved to create Blessed Holdings, LLC dba Salon Mia Bella. Salon Mia Bella was originally a multi member LLC which I had a partner. Now, it is a single member LLC (Blessed Holdings). With approval, the business named changed (with dba from Salon Mia Bella to dba HavenLeigh Salon & Wellness Spa). The nature of the business remains the same, only additional services have been added. The name has changed, however, it remains under the LLC and no changes to EIN. No changes to location either.; 232 B McFarland Blvd N, , Northport, AL, 35476; Not Investment-Related; 12/31/2013; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-02-10
  • S63 Uniform Securities Agent State Law Examination
    1999-02-10
Other Names
  • Mindy Hammond

View on SEC IAPD

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