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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
NJ RA APPROVED 2012-05-18
TX RA APPROVED 2012-05-18
  • NJ RA
    APPROVED
    Since 2012-05-18
  • TX RA
    APPROVED
    Since 2012-05-18

Branch Locations

250 Pehle Ave Ste 500 Park 80 West, Plaza Two, Saddle Brook, NJ 07663 • United States

Westwood, 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. Saddle Brook NJ 05/2012 03/2020
Ameriprise Financial Services, Llc Saddle Brook NJ 03/2020 Present
Previous Registrations
  • 2009-10-23 → 2012-05-22
    Ramsey, NJ
    Ho-Ho-Kus, NJ
    Ridgewood, NJ
    Ramsey, NJ
    Ho-Ho-Kus, NJ
    Paramus, NJ
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Ramsey, NJ
    Ho-Ho-Kus, NJ
    Ridgewood, NJ
  • 2004-08-04 → 2004-10-20
    Quick & Reilly, Inc.
    Ho-Ho Kus, NJ
Other Businesses

Independent Insurance Brokering; Unum; 02/01/1993; . Other Business Activities; kevin considine; I receive a trail commission for a small group disability plan I wrote back in 1990 with Unum life insurance company; 38 james street westwood new jersey, ,; ; 04/01/1990; 0 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-07-30
S63 Uniform Securities Agent State Law Examination 1997-04-18
  • S66 Uniform Combined State Law Examination
    2004-07-30
  • S63 Uniform Securities Agent State Law Examination
    1997-04-18

View on SEC IAPD

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