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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 2026-01-07
PA RA APPROVED 2003-07-02
  • TX RA
    APPROVED
    Since 2026-01-07
  • PA RA
    APPROVED
    Since 2003-07-02

Branch Locations

113 E Evans St Ste C, West Chester, PA 19380 • United States

Thornton, PA • 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. West Chester PA 09/2005 03/2020
Ameriprise Financial Services, Llc West Chester PA 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 37440 Liverpool Ln, , Rehoboth, DE, 19958; Not Investment-Related; 10/28/2015.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-03-17
  • S66 Uniform Combined State Law Examination
    1999-03-17
Designations
  • Certified Financial Planner
Other Names
  • Andre Duffie

View on SEC IAPD

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