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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
WI RA APPROVED 2025-02-10
  • WI RA
    APPROVED
    Since 2025-02-10

Branch Locations

Kaukauna, WI • United States

444 Reid St Ste 200, De Pere, WI 54115 • 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
Schneider National Green Bay WI 08/2018 06/2023
Kohls Department Stores Marinette WI 05/2016 08/2018
University Of Wisconsin Green Bay Green Bay WI 09/2013 12/2016
Shade Today Nursery And Landscaping Appleton WI 05/2014 04/2023
Student Green Bay WI 09/1998 12/2016
Northwestern Mutual Life Insurance Company Milwaukee WI 06/2023 09/2024
Northwestern Mutual Investment Services Llc Appleton WI 08/2023 09/2024
Northwestern Mutual Wealth Management Company Milwaukee WI 06/2024 09/2024
Ameriprise Financial Services, Llc De Pere WI 09/2024 Present
  • 08/2018 → 06/2023
    Schneider National
    Green Bay, WI
  • 05/2016 → 08/2018
    Kohls Department Stores
    Marinette, WI
  • 09/2013 → 12/2016
    University Of Wisconsin Green Bay
    Green Bay, WI
  • 05/2014 → 04/2023
    Shade Today Nursery And Landscaping
    Appleton, WI
  • 09/1998 → 12/2016
    Student
    Green Bay, WI
  • 06/2023 → 09/2024
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 08/2023 → 09/2024
    Northwestern Mutual Investment Services Llc
    Appleton, WI
  • 06/2024 → 09/2024
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 09/2024 → Present
    De Pere, WI
Other Businesses

Outside Employment; DP380 LLC; Financial Advisor; Manage advisory business; 444 Reid St, Suite 200, De Pere, WI, 54115; Investment-Related; 09/30/2024; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-01-22
S63 Uniform Securities Agent State Law Examination 2024-05-25
  • S65 Uniform Investment Adviser Law Examination
    2025-01-22
  • S63 Uniform Securities Agent State Law Examination
    2024-05-25
Other Names
  • Derek Johnson

View on SEC IAPD

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