AMERIPRISE FINANCIAL SERVICES, LLC of MINNEAPOLIS, MN is an SEC-registered investment adviser (CRD 6363). Regulatory assets under management: $660.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations, Other.
Showing 25 of 53 people.
| Name | Role | Location |
|---|---|---|
| Joseph Edward Sweeney | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | — |
| Mitchell David Doren | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | — |
| William Jerryl Williams | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT; EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER; PRESIDENT, DIRECTOR, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | — |
| Patrick Hugh O'Connell | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | — |
| Joseph Daniel Fleming | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| Jason Scott Bartylla | VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND CONTROLLER | — |
| Ann Marie Senne | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | — |
| Theodore Robert Horwith | VICE PRESIDENT - CONTROLLER, CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | — |
| HEATH BRIAN MICHAEL | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT; SENIOR VICE PRESIDENT - ADVISOR GROUP | — |
| LYNGSTAD DIANE DEE | CFO AND VICE PRESIDENT - COMPENSATION AND LICENSING SERVCIES | — |
| FLEMING JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER; VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| MURPHY DANIEL J | EXECUTIVE VICE PRESIDENT - RETAIL GROUP | — |
| TRUSCOTT WILLIAM FREDERICK | CIO | — |
| HANSEN ELIZABETH ANN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| JUNEK JOHN CARL | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL; EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL (+1 more) | — |
| CRACCHIOLO JAMES MICHAEL | DIRECTOR AND CHAIRMAN; DIRECTOR AND CHAIRMAN OF THE BOARD; DIRECTOR, CHAIRMAN, PRESIDENT AND CEO (+2 more) | — |
| SWEENEY JOSEPH EDWARD | DIRECTOR OF AMERIPRISE FINANCIAL SERVICES, INC. AND PRESIDENT, ADVICE AND WEALTH MANAGEMENT PRODUCTS AND SERVICES; DIRECTOR, PRESIDENT, ADVICE & WEALTH MANAGEMENT PRODUCTS AND SERVICE DELIVERY; PRESIDENT, ADVICE AND WEALTH MANAGEMENT PRODUCTS AND SERVICES (+5 more) | — |
| LOFGREN KURT WALKER | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER - U.S. RETAIL DISTRIBUTION; VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER - U.S. RETAIL DISTRIBUTION | — |
| BERMAN WALTER S | DIRECTOR | — |
| RIORDAN MARK ALEXNDER | CHIEF FINANCIAL OFFICER; SENIOR VICE PRESIDENT - CHIEF FINANCIAL OFFICER | — |
| WEIMER BETH ELLEN | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER - ASSET MANAGEMENT AND INSURANCE; VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER - ASSET MANAGEMENT AND INSURANCE | — |
| SCHWARZMANN MARK EDWARD | DIRECTOR, SENIOR VICE PRESIDENT - INSURANCE AND ANNUITIES; SENIOR VICE PRESIDENT - INSURANCE AND ANNUITIES | — |
| SHARAN KIM MICHELE | PRESIDENT - FINANCIAL PLANNING AND WEALTH STRATEGIES, CHIEF MARKETING OFFICER; PRESIDENT, FINANCIAL PLANNING, RETIREMENT & WEALTH STRATEGIES AND CHIEF MARKETING OFFICER; SENIOR VICE PRESIDENT, CHIEF MARKETING OFFICE | — |
| HALVORSON DANIEL DEAN | SROP | — |
| ROLOFF REBECCA KOENIG | SENIOR VICE PRESIDENT - GLOBAL FINANCIAL SERVICES | — |
Showing 10 of 46 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-04-02 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT, BETWEEN JANUARY 2015 AND DECEMBER 2018, IT VIOLATED FINRA RULES 3110, 2330 AND 2010 WHEN IT FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO SUPERVISE RECOMME… | Final | $450K |
| 2024-10-16 | civil | AS ALLEGED, THE CASH SWEEP SERVICES AT ISSUE PAY INTEREST RATES ON CASH BALANCES THAT ARE NOT IN COMPLIANCE WITH LEGAL DUTIES. | Pending | — |
| 2024-08-21 | civil | AS ALLEGED, THE CASH SWEEP SERVICES AT ISSUE PAY INTEREST RATES ON CASH BALANCES THAT ARE NOT IN COMPLIANCE WITH LEGAL DUTIES. | Pending | — |
| 2024-08-14 | regulatory | AMERIPRISE FINANCIAL SERVICES ("AFS") SUBMITTED AN OFFER OF SETTLEMENT, ACCEPTED BY THE UNITED STATES SECURITIES AND EXCHANGE COMMISSION ("SEC"), IN WHICH AFS ADMITTED THE FACTS RECITED IN SEC'S ORDER AND ACKNOWLEDGED VIOLATIONS OF THE SECURITIES EXCHANGE ACT OF 1934, SECTION 17(A) AND RULE 17A-4 TH… | Final | $50.0M |
| 2024-07-29 | civil | AS ALLEGED, THEIR CASH SWEEP SERVICES AT ISSUE PAY INTEREST RATES ON CASH BALANCES THAT ARE NOT IN COMPLIANCE WITH LEGAL DUTIES. | Pending | — |
| 2019-03-31 | regulatory | THE MARKET CONDUCT EXAMINATION INDICATED AREAS IN WHICH THE COMPANY WAS NOT IN COMPLIANCE WITH ILLINOIS INSURANCE CODE AND DEPARTMENT REGULATIONS RELATED TO PAYMENT OF INTEREST TO AN INSURED'S BENEFICIARY DUE TO DELAYED CLAIM PAYMENT. | Final | $6K |
| 2018-10-05 | regulatory | NEW JERSEY BUREAU OF SECURITIES ("BUREAU"), AFTER REVIEWING 8,147 AI PURCHASES, ALLEGED THAT BETWEEN 2010 AND 2015 AMERIPRISE FINANCIAL SERVICES, INC. ("AMERIPRISE"), PURSUANT TO N.J.S.A. 49:3-58(A)(2)(XI), FAILED TO REASONABLY SUPERVISE NEW JERSEY CUSTOMERS' PURCHASES OF AIS (65 TRANSACTIONS) TO EN… | Final | $375K |
| 2018-09-06 | regulatory | THE STATE OF NORTH CAROLINA ALLEGED THAT BETWEEN 2016 AND 2017, AMERIPRISE FINANCIAL SERVICES, INC. ("AMERIPRISE") VIOLATED N.C. GEN. STAT. ?78A-36(B) AND 18 NCAC 06A.1408(B), WHEN IT FAILED TO PROMPTLY NOTIFY THE STATE ADMINISTRATOR OF TERMINATION OF CERTAIN REGISTERED SALES PERSONS; 18NCAC 06A.140… | Final | $5K |
| 2018-09-06 | regulatory | THE STATE OF NORTH CAROLINA ALLEGED THAT BETWEEN 2016 AND 2017, AMERIPRISE FINANCIAL SERVICES, INC. ("AMERIPRISE") VIOLATED N.C. GEN. STAT. §78A-36(B) AND 18 NCAC 06A.1408(B), WHEN IT FAILED TO PROMPTLY NOTIFY THE STATE ADMINISTRATOR OF TERMINATION OF CERTAIN REGISTERED SALES PERSONS; 18NCAC 06A.140… | Final | $5K |
| 2018-08-15 | regulatory | SEC ALLEGED THAT FROM 2011 THROUGH 2014 AMERIPRISE FINANCIAL SERVICES, INC. ("AMERIPRISE") VIOLATED SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER BY FAILING TO ADOPT AND IMPLEMENT POLICIES AND PROCEDURES REASONABLY DESIGNED TO SAFEGUARD RETAIL INVESTOR ASSETS AGAINST MISAPPROPRIATI… | Final | $4.5M |