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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 2020-10-08
NJ RA APPROVED 2002-07-29
  • TX RA
    APPROVED_RES
    Since 2020-10-08
  • NJ RA
    APPROVED
    Since 2002-07-29

Branch Locations

201 West Passaic St Suite 103, Rochelle Park, NJ 07662 • United States

201 W Passaic St Ste 103, Rochelle Park, NJ 07662 • United States

Fairlawn, NJ • 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. Rochelle Park NJ 09/2005 03/2020
Ameriprise Financial Services, Llc Rochelle Park NJ 03/2020 Present
Other Businesses

Board of Directors; Willowcreek Home Owners; Vice President/ Board Member; 7 Cross Meadows, , Fair Lawn, NJ, 7410; Not Investment-Related; 11/28/2019; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-03-15
  • S63 Uniform Securities Agent State Law Examination
    1999-03-15
Other Names
  • Manoda Bhavsar
  • Manoda Bhausar

View on SEC IAPD

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