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Ameriprise Financial Services, LLC CRD 6363
$660B regulatory AUM 124,349 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-01-24 |
| RI | RA | APPROVED | 1999-01-01 |
Branch Locations
117 Metro Center Blvd Ste 2004, Warwick, RI 02886 • United States
W Warwick, RI • United States
158 Main St Suite 1, Putnam, CT 06260-1964 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Warwick | RI | 09/2005 | 03/2020 |
| Ameriprise Financial Services, Llc | Warwick | RI | 03/2020 | Present |
Outside Employment; SNE Operations LLC; Licensed Paraplanner; Manage advisory business; 117 Metro Center Blvd, Suite 2004, Warwick, RI, 02886; Investment-Related; 05/01/1996; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-04 |
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