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Detailed Report
KATHERINE LEE CHAPPELL
KATHERINE LEE CHAN
CRD#: 4493360
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 255 SHORELINE DR
STE 400
REDWOOD CITY, CA 94065
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - Present (23 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)2002 - 2006 (4 years)
License(s)

State Registrations

B
California 3/6/2002
B
Minnesota 6/4/2021
IA
California 3/8/2002
B
New Jersey 3/24/2014
B
Colorado 10/28/2021
B
New Mexico 9/23/2016
B
Florida 7/17/2015
B
Oregon 5/18/2004
B
Hawaii 4/3/2020
B
Texas 11/23/2005
B
Idaho 6/15/2010
IA
Texas 9/28/2006
B
Illinois 4/21/2021
B
Virginia 6/13/2020
B
Michigan 3/5/2020
B
Washington 4/28/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
255 SHORELINE DR STE 400, REDWOOD CITY, CA 94065
Fremont, CA
Registered with this firm since 3/8/2002
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
255 SHORELINE DR STE 400, REDWOOD CITY, CA 94065
Fremont, CA
Registered with this firm since 2/27/2002
Previous Registration(s)
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B
 02/27/2002 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.