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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
CT RA APPROVED 2025-06-05
  • CT RA
    APPROVED
    Since 2025-06-05

Branch Locations

Bethel, CT • United States

835 Straits Tpke Ste A, Middlebury, CT 06762 • 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, Llc Middlebury CT 10/2023 Present
Buffalo Wild Wings Danbury CT 01/2018 10/2023
Bethel High School Bethel CT 01/2014 12/2017
  • 10/2023 → Present
    Middlebury, CT
  • 01/2018 → 10/2023
    Buffalo Wild Wings
    Danbury, CT
  • 01/2014 → 12/2017
    Bethel High School
    Bethel, CT
Other Businesses

Outside Employment; Honey Badger Management LLC; Regular duties of a client concierge which include speaking to clients on the phone, submitting transactions when appropriate, and overall working as an advisor's assistant.; Manage advisory business; 835 Straits Tpke, Ste A, , Middlebury, CT, 06801; Investment-Related; 01/01/2026; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-05-31
  • S66 Uniform Combined State Law Examination
    2025-05-31

View on SEC IAPD

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