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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
IN RA APPROVED 2026-06-12
KY RA APPROVED 2026-06-12
  • IN RA
    APPROVED
    Since 2026-06-12
  • KY RA
    APPROVED
    Since 2026-06-12

Branch Locations

Owensboro , KY • United States

1900 Hirschland Rd, Evansville, IN 47715-8249 • 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
Liberty Federal Credit Union Evansville IN 05/2024 Present
Liberty Federal Credit Union Owensboro KY 01/2021 05/2024
Colby's Fine Food And Spirits Owensboro KY 07/2019 01/2021
Unemployed Owensboro KY 05/2019 07/2019
Fat Edd's Roadhouse Metropolis IL 07/2016 05/2019
Lpl Financial Llc Evansville IN 05/2024 06/2026
Ameriprise Financial Services, Llc Evansville IN 06/2026 Present
  • 05/2024 → Present
    Liberty Federal Credit Union
    Evansville, IN
  • 01/2021 → 05/2024
    Liberty Federal Credit Union
    Owensboro, KY
  • 07/2019 → 01/2021
    Colby's Fine Food And Spirits
    Owensboro, KY
  • 05/2019 → 07/2019
    Unemployed
    Owensboro, KY
  • 07/2016 → 05/2019
    Fat Edd's Roadhouse
    Metropolis, IL
  • 05/2024 → 06/2026
    Evansville, IN
  • 06/2026 → Present
    Evansville, IN
Previous Registrations
Other Businesses

Outside Employment; Liberty Wealth Services; Associate Financial Advisor; Associate Financial Advisor; 1900 Hirschland Rd, , Evansville, IN, 47715; Investment-Related; 06/15/2026; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-10-29
  • S66 Uniform Combined State Law Examination
    2024-10-29
Other Names
  • James Holmes

View on SEC IAPD

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