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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 2016-08-29
MI RA APPROVED 2016-08-26
  • TX RA
    APPROVED
    Since 2016-08-29
  • MI RA
    APPROVED
    Since 2016-08-26

Branch Locations

101 W Big Beaver Rd Ste 425, Troy, MI 48084 • United States

Rochester, MI • 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
Ameriprise Financial Services, Inc. Troy MI 08/2016 03/2020
Ameriprise Financial Services, Llc Troy MI 03/2020 Present
Previous Registrations
Other Businesses

Real Estate Ownership; Commercial; 4324 s oak st metamora mi4030 s oak st Metamora mi, ,; Not Investment-Related; 09/28/2017 / Lot/Land; 8754 ferry stMontague Mi, ,; Not Investment-Related; 10/11/2018 / Lot/Land; 8658 water st Montague Mi, ,; Not Investment-Related; 10/12/2018. Business Ownership; Weaver 2 LLC; President/owner; Realestate holding; 319 n castell ave, , rochester, MI, 48307; Not Investment-Related; 10/05/2011; 1 to 9 hours per month; 0 during trading hours / Trucket; president; Consumer product; 319 n castell ave, , rochester, MI, 48307; Not Investment-Related; 09/14/2017; 1 to 9 hours per month; 0 during trading hours / artisan market village LLC; design and maintain buildings; realestate; 319 n castell ave, , rochester, MI, 48307; Not Investment-Related; 01/01/2020; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-15
S63 Uniform Securities Agent State Law Examination 1999-05-27
  • S65 Uniform Investment Adviser Law Examination
    1999-06-15
  • S63 Uniform Securities Agent State Law Examination
    1999-05-27

View on SEC IAPD

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