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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 2022-07-23
IL RA APPROVED 2017-07-19
  • TX RA
    APPROVED_RES
    Since 2022-07-23
  • IL RA
    APPROVED
    Since 2017-07-19

Branch Locations

1860 W Winchester Rd Ste 104, Libertyville, IL 60048-5312 • 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
Unemployed Glenview IL 10/2016 12/2016
Randstad/Promethean Alpharetta GA 04/2016 10/2016
Ameriprise Financial Services, Inc. Libertyville IL 12/2016 03/2020
Ameriprise Financial Services, Llc Libertyville IL 03/2020 Present
  • 10/2016 → 12/2016
    Unemployed
    Glenview, IL
  • 04/2016 → 10/2016
    Randstad/Promethean
    Alpharetta, GA
  • 12/2016 → 03/2020
    Ameriprise Financial Services, Inc.
    Libertyville, IL
  • 03/2020 → Present
    Libertyville, IL
Other Businesses

Business Ownership; PaxCo; Co-owner; Management of practice.; 1860 W Winchester Rd, Suite 104, Libertyville, IL, 60048; Not Investment-Related; 09/02/2022; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-04-05
  • S66 Uniform Combined State Law Examination
    2017-04-05

View on SEC IAPD

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