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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
TX RA APPROVED 2014-04-03
NJ RA APPROVED 2005-11-09
  • TX RA
    APPROVED
    Since 2014-04-03
  • NJ RA
    APPROVED
    Since 2005-11-09

Branch Locations

80 Rt 4 East Ste 140, Paramus, NJ 07652-2620 • United States

Elmwood Park, NJ • 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. Paramus NJ 10/2005 03/2020
Ameriprise Financial Services, Llc Paramus NJ 03/2020 Present
Previous Registrations
  • 2002-06-12 → 2005-08-29
    Morgan Stanley Dw Inc.
    Paramus, NJ
Other Businesses

Real Estate Ownership; condominium complex - 1 unit owned; 11565 Michelangelo Boulevard , Unit # 208, Delray, FL, 33445; Not Investment-Related; 07/09/2024.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-06-01
S63 Uniform Securities Agent State Law Examination 1999-08-11
  • S65 Uniform Investment Adviser Law Examination
    2001-06-01
  • S63 Uniform Securities Agent State Law Examination
    1999-08-11
Other Names
  • Rebecca Jo Yentes

View on SEC IAPD

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