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Investment Adviser Firm Summary

AMERIPRISE FINANCIAL SERVICES, INC. (CRD# 6363 / SEC# 8-16791, 801-28543)
Alternate Names: AMERICAN EXPRESS FINANCIAL ADVISORS INC. , AMERICAN EXPRESS FINANCIAL ADVISORS, INC. , AMERIPRISE FINANCIAL SERVICES, INC. , IDS MARKETING CORPORATION

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/05/1986

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 05/03/1991
Alaska 12/15/1986
Arizona 11/22/2005
Arkansas 12/31/1986
California 07/08/1997
Colorado 01/01/1999
Connecticut 01/16/1998
Delaware 07/03/2003
District of Columbia 02/25/1994
Florida 04/03/1987
Georgia 04/05/1989
Hawaii 02/09/1987
Idaho 07/17/1991
Illinois 12/04/1986
Indiana 11/08/2000
Iowa 01/01/1999
Kansas 12/19/1997
Kentucky 11/22/2005
Louisiana 01/18/2001
Maine 01/01/1998
Maryland 11/19/1990
Michigan 11/22/2005
Minnesota 12/01/1986
Mississippi 01/18/2001
Missouri 07/17/1974
Montana 12/22/1997
Nebraska 12/31/1997
Nevada 12/10/1990
New Hampshire 01/01/1987
New Jersey 11/04/2005
New Mexico 12/09/1986
New York 11/18/1986
North Carolina 10/19/2000
North Dakota 07/14/1989
Ohio 07/06/1999
Oklahoma 01/01/1998
Pennsylvania 07/02/1974
Puerto Rico 12/17/2008
Rhode Island 01/01/1995
South Carolina 12/06/1986
South Dakota 12/16/1986
Tennessee 11/10/1997
Texas 01/01/1983
Utah 12/23/1991
Vermont 01/20/1995
Virgin Islands 09/18/2009
Virginia 11/22/2005
Washington 01/01/1987
West Virginia 10/02/1997
Wisconsin 01/01/1986
Wyoming 07/05/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser