Full text of AMERIPRISE FINANCIAL SERVICES, LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### STATEMENT OF FI N A NC IAL CO N DITION Ameriprise Financial Services, LLC SEC File Number: 8-16791 December 31 , 2020 With Report oflndependent Registered Public Accounting Firm {1}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 SEC FILE NUMBER 8-16791 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING 01/01/2020 | | AND ENDING 12/31/2020 | | |----------------------------------------------------------------------------------------------|--------------------------------------------------------|-----------------------|--------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME o F BROKER-DEALER: Ameriprise Financial Services, LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 802 Ameriprise Financial Center, 707 2nd Avenue South | | | | | | (No. and Street) | | | | Minneapolis | MN | | 55474 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Michael S. Mattox | | | 612.678.0262 | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | IN DEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | Pricewaterhouse Coopers LLP | | | | | | (Name - if individual, state last, first, middle name) | | | | One North Wacker Dr. | Chicago | IL | 60606 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | !certified Public Accountant | | | | | Publi c Accountant | | | | | Accou ntan t not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *\*Claims.for exemption.from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of/acts and circumstances relied on as the basis.for the exemption. See Section 240.* J *7a-5(e)(2)* SEC 1410 (11-05) **Potential persons who are to respond to the collection of information contained in this form are not required to re…Read the full text as markdown