Ameriprise Financial Services, LLC
108 Ameriprise Financial Center
Minneapolis, MN 55474
No. advisers: 7,740
In the News
December 3, 2019 - Finra arbitrators ruled in favor of two former UBS Financial Services Inc. brokers who claimed a member of their team created a hostile work environment, but the $171,445 damages award has their lawyer wondering whether there was a mistake in the ruling...
May 8, 2019 - A former broker won a $600,000 arbitration award for claims that another broker reneged on a deal to sell his book of business. According to a Financial Industry Regulatory Authority Inc. filing, former Ameriprise Financial Services broker Peter Butler...
November 24, 2018 - InvestmentNews recognized 11 financial advice firms with Best Practices Awards on Nov. 13 at a ceremony in Boston. These firms rank among the top quartile of 385 independent advisory firms that participated in the 2018 InvestmentNews Pricing and Profitability...
September 13, 2018 - The Financial Industry Regulatory Authority Inc. has barred a former Ameriprise Financial broker after he failed to cooperate with an investigation into allegations of unethical conduct while at his firm. Jeffery Joseph Kelly, who starting working at...
August 16, 2018 - Brokers forging client signatures and creating phony wire transfers were at the heart of the frauds revealed Wednesday when the Securities and Exchange Commission said that Ameriprise Financial Services will pay $4.5 million to settle charges that it...
May 22, 2018 - Endeavor Wealth Advisory Group, of Rochester, N.Y.., which manages $282 million in assets, has changed its affiliation from Ameriprise Financial Services to Commonwealth Financial Network. Endeavor's four advisers are John Moose, David Zambito, David...
- N/A = Not available
- N/D = Not disclosed
- — = Information not available or not disclosed
All 2011-2016 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.
Purchase the complete set of our independent broker-dealer data and profiles in an Excel spreadsheet.
For comments or suggestions about the Adviser Center, please contact us.
Disclaimer: All data and information is the property of InvestmentNews and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews. The data may only be used for internal business use such as to develop a mailing list but the data may not be resold, republished, redistributed, sublicensed or publicly displayed on a web site without the permission of InvestmentNews. All information contained within was obtained through InvestmentNews' annual independent B-D surveys.