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The Adviser Center: Ameriprise Financial Services, LLC - InvestmentNews
Ameriprise Financial Services, LLC

Ameriprise Financial Services, LLC

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108 Ameriprise Financial Center

Minneapolis, MN 55474

(612) 671-3131

joinameriprise.com

No. advisers: 7,740

In the News

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Finra arbitrators order UBS to pay female brokers $171,445

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...

Former broker wins $600,000 arb award for claims related to sale of business

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...

Advisory firms make their mark by running strong businesses

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...

Former Ameriprise broker accused of unethical conduct barred by Finra

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...

As Ameriprise case shows, firms on hook when brokers go bad ‚Äč

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...

Ameriprise team managing $282 million moves to Commonwealth

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...

    Notes
  • 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.

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