Full text of AMERIPRISE FINANCIAL SERVICES, LLC's X-17A-5 filed 2024-02-23 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### STATEMENT OF FINANCIAL CONDITION Ameriprise Financial Services, LLC SEC File Number: 8-16791 December 31 , 2023 With Report oflndependent Registered Public Accounting Firm {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-16791 # **ANNUAL REPORTS FORM X-17 A-5 PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2023** AND ENDING **12/31/2023** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Ameriprise Financial Services, LLC TYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer D Security-based swap dealer D Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) \_\_ 802 Ameriprise Financial Center, 707 2nd Avenue South \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_ | | | (No. and Street) | | | | |----------------------------------------------|--|------------------------------------------------------------|-------------------------|------------|--| | Minneapolis | | MN | | 55474 | | | (City) | | (State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Jason Bartylla | | 612-671-2041 | jason.bartylla@ampf.com | | | | (Name) | | (Area Code -Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Pricewaterhouse Coopers LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | One North Wacker Dr. | | Chicago | IL | 60606 | | | (Address) | | (City) | (State) | (Zip Code) | | | | | | | | | | 10/20/2003 | | | 238 | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {2}------------------------------------------------ #### **OATH OR AFFIRMATIO…Read the full text as markdown