Home  >  BrightScope Advisor Pages  >  Ameriprise Financial Services, Inc.

Ameriprise Financial Services, Inc.

Ameriprise Financial Services, Inc.
Ameriprise Financial Services, Inc. is a Broker-Dealer with over 13,751 financial professionals registered nationwide. The firm's primary clients are Individuals, High Net Worth Individuals and Pension and Profit Sharing Plans.

Firm Information

help text

Advisors (13,751)

Name Start Date
Karen Goersch Mar 2014
Rick E. Wilson II Feb 2012
David I. Katz, AAMS® AIF® Jan 2014
Scott Patrick Grady Nov 2013
Fred Wiley Richardson Jan 2014
*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Top ETF Holdings

No ETF holdings data available.

Firm Assets Under Management

Total Assets
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.


  •   Ampf Holding Corporation (75% or more)
  •   Executives with less than 5% share each

*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.

Executives and Control Persons

Name Title Tenure Date
David Kent Stewart Chief Financial Officer 12/01/2007
Kurt Walker Lofgren Senior Vice President and Chief Compliance Officer - U.S. Retail Distribution 01/01/2010
James Boyd Flewelling Group Vice President (Texas Designated Officer) 08/01/2009
John Carl Junek Executive Vice President and General Counsel 11/01/2011
Joseph Edward Sweeney Director, President, Advice & Wealth Management Products and Service Delivery 06/01/2012

Affiliated Investment Advisors and Broker Dealers

Name Type Total Assets
American Enterprise Investment Services Inc. Broker-Dealer
Ameriprise Certificate Company
Ameriprise Financial, Inc. IAR $147,301,132,186
Ameriprise National Trust Bank
Ameriprise Trust Company
Ampf Holding Corporation
Columbia Management Investment Advisers, LLC IAR $345,246,586,352
Columbia Management Investment Distributors, Inc. Broker-Dealer
Columbia Management Investment Services, Corp.
Columbia Wanger Asset Management, LLC IAR $32,067,034,928
Riversource Distributors, Inc. Broker-Dealer
Riversource Life Insurance Co. of New York
Riversource Life Insurance Company
Threadneedle Asset Management Ltd
Threadneedle International Limited
Threadneedle Investment Services Limited
Threadneedle Navigator Isa Manager Ltd.
Threadneedle Pensions Limited
Threadneedle Portfolio Services Limited
Threadneedle Unit Trust Manager Ltd

Principal Office & Place of Business

Principal Office

707 2nd Avenue South
Minneapolis , MN 55402
Phone Number: 612-671-3131
Other Offices Address City State Zip
5221 Ameriprise Financial Center Minneapolis MN 55474
201 Broad Street Stamford CT 06901-2004
1001 Third Avenue South Minneapolis MN 55402
970 Windham Ct Youngstown OH 44512-5082
1 W 1st Ave Conshohocken PA 19428-6802
800 Westchester Ave. Rye Brook NY 10573-1332
1375 E. Woodfield Rd. Schaumburg IL 60173-6012
1308 Village Creek Dr. Plano TX 75093-5095
5227 Ameriprise Financial Center Minneapolis MN 55474

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees