Daniel Thomas Austria

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-11-29
OH	RA	APPROVED	1999-09-19

TX RA
APPROVED_RES

Since 2022-11-29
OH RA
APPROVED

Since 1999-09-19

Branch Locations

67 Marydale Dr Ste A, Beavercreek, OH 45440 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Miamisburg	OH	07/1987	03/2020
Ameriprise Financial Services, Llc	Beavercreek	OH	03/2020	Present

07/1987 → 03/2020

Ameriprise Financial Services, Inc.

Miamisburg, OH
03/2020 → Present

Ameriprise Financial Services, Llc

Beavercreek, OH

Other Businesses

Real Estate Ownership; Commercial; 67 Marydale Dr., , Beavercreek, OH, 45440; Not Investment-Related; 11/01/2009. Business Ownership; DT3 Group; ; Rental Real Estate; 4044 N. Emerald Ct.Beavercreek, OH 45430, ,; ; ; 10 to 19 hours per month; / DT3GULF; Owner; Rental Property; 4044 N Emerald Ct, , Beavercreek, OH, 45430; Not Investment-Related; 10/01/2018; 1 to 9 hours per month; 0 during trading hours / DT3 D, LLC; Owner; Rental Property; 4044 N Emerald Ct, , Beavercreek, OH, 45430; Not Investment-Related; 04/11/2020; 1 to 9 hours per month; 0 during trading hours.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2001-10-25

S63 Uniform Securities Agent State Law Examination

2001-10-25

Other Names

Dan Austria

View on SEC IAPD