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AMERIPRISE FINANCIAL SERVICES, INC.
AMERIPRISE FINANCIAL SERVICES, INC. (CRD# 6363) is an SEC-Registered Investment Advisor (RIA), headquartered in Minneapolis, MN. The SEC approved the firm to operate as an RIA in Dec 1986. In Oct 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $244.2 Billion, and has discretion over 42% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 2% .  
 
AMERIPRISE FINANCIAL SERVICES, INC. also reported in Oct 2018:
  • 13,020 employees, with 11,478 performing advisory functions.
  • A total of 162 office locations.
  • No registrations with foreign financial regulatory authorities.
  • Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
AMERIPRISE FINANCIAL SERVICES, INC. has one or more disclosure events currently on file with the SEC.
 

View AMERIPRISE FINANCIAL SERVICES, INC.'s most recent Form ADV filing
 


AMERIPRISE FINANCIAL SERVICES, INC. has Notice Filings with the following State Securities Authorities: AK-Dec 1986, AL-May 1991, AR-Dec 1986, AZ-Nov 2005, CA-Jul 1997 , CO-Jan 1999, CT-Jan 1998, DC-Feb 1994, DE-Jul 2003, FL-Apr 1987 , GA-Apr 1989, HI-Feb 1987, IA-Jan 1999, ID-Jul 1991, IL-Dec 1986 , IN-Nov 2000, KS-Dec 1997, KY-Nov 2005, LA-Jan 2001, MD-Nov 1990 , ME-Jan 1998, MI-Nov 2005, MN-Dec 1986, MO-Jul 1974, MS-Jan 2001 , MT-Dec 1997, NC-Oct 2000, ND-Jul 1989, NE-Dec 1997, NH-Jan 1987 , NJ-Nov 2005, NM-Dec 1986, NV-Dec 1990, NY-Nov 1986, OH-Jul 1999 , OK-Jan 1998, PA-Jul 1974, PR-Dec 2008, RI-Jan 1995, SC-Dec 1986 , SD-Dec 1986, TN-Nov 1997, TX-Jan 1983, UT-Dec 1991, VA-Nov 2005 , VI-Sep 2009, VT-Jan 1995, WA-Jan 1987, WI-Jan 1986, WV-Oct 1997 , WY-Jul 2017

Disclaimer:  The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel Free to contact FindingFraud.org with questions or concerns.