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Kelly Conan Lee

Ameriprise Financial Services, LLC

San Jose, CA

San Jose, CA

CRD 3184359

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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
CA RA APPROVED 2016-11-07
TX RA APPROVED 2008-01-10
  • CA RA
    APPROVED
    Since 2016-11-07
  • TX RA
    APPROVED
    Since 2008-01-10

Branch Locations

1 Almaden Blvd Ste 810, San Jose, CA 95113-2215 • United States

San Jose, CA • 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. Austin TX 01/2008 03/2020
Ameriprise Financial Services, Llc San Jose CA 03/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-07-20
  • S66 Uniform Combined State Law Examination
    1999-07-20

View on SEC IAPD

Nearby Firms

J.P. MORGAN SECURITIES LLC
PFG ADVISORS
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Nearby Investors

Ryan Leiby
Adrian Baker
Bianca N. Cross

Nearby Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA

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