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
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$248.3 Billion,
with discretion over
45%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
1%
.
|
|
AMERIPRISE FINANCIAL SERVICES, INC.
also reported in
Mar 2019
-
13718
employees,
with
12962
performing advisory functions.
-
A total of 167 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.
|
|
|
|
|
|
|
|
|
|
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.
|
|
|
|
|
|
|
|
