# AMERICAN EXPRESS FINANCIAL CORPORATION

AMERICAN EXPRESS FINANCIAL CORPORATION of MINNEAPOLIS, MN is an SEC-registered investment adviser.

## Registration

- CRD: 6320
- Type: SEC-registered investment adviser
- SEC file number: 801-14721
- Location: 50611 AXP FINANCIAL CENTER, MINNEAPOLIS, MN, 55474
- Phone: 612-671-3662
- Latest filing: 2005-10-10
- Regulatory AUM: $147.3B
- Discretionary AUM: $145.8B
- Non-discretionary AUM: $1.5B
- Clients: 3,000
- Accounts: 116

## Officers, owners & control persons (36)

_Showing 25 of 36 people._

| Name | Role | Location |
| --- | --- | --- |
| [HEATH BRIAN MICHAEL](https://search.stillhousedata.com/person/731129) | DIRECTOR, SVP - GENERAL SALES MANAGER; PRESIDENT - U.S. ADVISOR GROUP; PRESIDENT, U.S. ADVISOR GROUP (+2 more) | — |
| [MURPHY DANIEL J](https://search.stillhousedata.com/person/740643) | DIRECTOR, EVP - US RETAIL GROUP; EVP - US RETAIL GROUP | — |
| [CARTER WILLIAM](https://search.stillhousedata.com/person/747780) | DIRECTOR, SVP, CHIEF MARKETING OFFICER | — |
| [ANDERSON TIMOTHY JON](https://search.stillhousedata.com/person/755092) | DIRECTOR, SVP - INVESTMENT OPERATIONS | — |
| [TRUSCOTT WILLIAM FREDERICK](https://search.stillhousedata.com/person/756538) | PRESIDENT - U.S. ASSET MANAGEMENT AND CHIEF INVESTMENT OFFICER; PRESIDENT, U.S. ASSET MANAGEMENT AND CHIEF INVESTMENT OFFICER; SVP, CIO | — |
| [KEELEY MICHELLE MARIE](https://search.stillhousedata.com/person/756539) | SVP - FIXED INCOME | — |
| [JUNEK JOHN CARL](https://search.stillhousedata.com/person/759212) | DIRECTOR, SVP, GENERAL COUNSEL; EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL; EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY (+2 more) | — |
| [CRACCHIOLO JAMES MICHAEL](https://search.stillhousedata.com/person/759213) | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER; DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT; DIRECTOR, COB, PRESIDENT AND CHIEF EXECUTIVE OFFICER (+1 more) | — |
| [SWEENEY JOSEPH EDWARD](https://search.stillhousedata.com/person/759214) | PRESIDENT - BANKING, BROKERAGE AND FINANCIAL ADVICE; PRESIDENT, FINANCIAL PLANNING, PRODUCTS AND SERVICES; SENIOR VICE PRESIDENT - US BROKERAGE AND MEMBERSHIP BANKING | — |
| [BERMAN WALTER S](https://search.stillhousedata.com/person/759216) | DIRECTOR; DIRECTOR, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER; EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | — |
| [WEIMER BETH ELLEN](https://search.stillhousedata.com/person/761047) | CHIEF COMPLIANCE OFFICER; VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| [SCHWARZMANN MARK EDWARD](https://search.stillhousedata.com/person/761048) | DIRECTOR; PRESIDENT - INSURANCE, ANNUITIES AND PRODUCT DISTRIBUTION; PRESIDENT, INSURANCE, ANNUITIES AND PRODUCT DISTRIBUTION (+2 more) | — |
| [SHARAN KIM MICHELE](https://search.stillhousedata.com/person/761049) | EXECUTIVE VICE PRESIDENT AND CHIEF MARKETING OFFICER; SENIOR VICE PRESIDENT, CHIEF MARKETING OFFICER | — |
| [MORRIS HOLLY](https://search.stillhousedata.com/person/761050) | SENIOR VICE PRESIDENT - TECHNOLOGIES | — |
| [STOCKDALE-BOON CAROLINE](https://search.stillhousedata.com/person/761051) | SENIOR VICE PRESIDENT - HUMAN RESOURCES | — |
| [WOERNER JOHN ROBERT](https://search.stillhousedata.com/person/761052) | SENIOR VICE PRESIDENT -STRATEGIC PLANNING AND BUSINESS DEVELOPMENT; SENIOR VICE PRESIDENT, STRATEGIC PLANNING AND BUSINESS DEVELOPMENT; SENIOR VICE PRESIDENT STRATEGIC PLANNING AND DEVELOPMENT | — |
| [ROLOFF REBECCA KOENIG](https://search.stillhousedata.com/person/763243) | DIRECTOR, SVP - FIELD  MGMT AND FIELD ADVISORY SVCS; SVP - FIELD  MGMT AND FIELD ADVISORY SVCS | — |
| [STEWART DAVID KENT](https://search.stillhousedata.com/person/765428) | ACTING CFO | — |
| [FRASER BARBARA HELEN](https://search.stillhousedata.com/person/770107) | EVP - AEFA PRODUCTS AND CORPORATE MARKETING; EVP - CHIEF MARKETING OFFICER | — |
| [KUMAGAI STEVEN CRAIG](https://search.stillhousedata.com/person/777205) | DIRECTOR, SVP - DIRECT AND INTERACTIVE GROUP | — |
| [SEDLACEK STUART ALAN](https://search.stillhousedata.com/person/777207) | DIRECTOR, SVP, CFO | — |
| [KLING RICHARD WILLIAM](https://search.stillhousedata.com/person/778733) | DIRECTOR, SVP - INSURANCE PRODUCTS | — |
| [MORET PAMELA J](https://search.stillhousedata.com/person/778735) | DIRECTOR, SVP - PRODUCTS GROUP | — |
| [GOLUB HARVEY](https://search.stillhousedata.com/person/779733) | DIRECTOR | — |
| [CHENAULT KENNETH I](https://search.stillhousedata.com/person/779734) | DIRECTOR | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/6320/brochure
- Similar advisers: https://search.stillhousedata.com/firm/6320/similar
- Related entities: https://search.stillhousedata.com/firm/6320/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/6320

---

Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.