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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
FL RA APPROVED 2025-01-06
  • FL RA
    APPROVED
    Since 2025-01-06

Branch Locations

Safety Harbor, FL • United States

28100 Us Hwy 19 N Ste 400, Clearwater, FL 33761 • 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
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) Clearwater FL 04/2005 11/2024
Flaharty Asset Management, Llc Clearwater FL 09/2013 11/2024
Ameriprise Financial Services, Llc Clearwater FL 11/2024 Present
Previous Registrations
Other Businesses

Board of Directors; Rotary Club of Safety Harbor Noon Foundation; Treasurer; 519 2nd Street, , Safety Harbor, FL, 34695; Not Investment-Related; 10/01/2024; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-07-27
  • S63 Uniform Securities Agent State Law Examination
    2000-07-27

View on SEC IAPD

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