AMERIPRISE FINANCIAL, INC.
CRD #6320 SEC #801-14721 MINNEAPOLIS, MN 612-671-3452
SEC Registered
Total AUM
$147B
Discretionary
$146B
Employees
--
Clients
0
Accounts
116
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Oct 10, 2005
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALGER, DOUGLAS, ARNOLD | I | DIRECTOR, SVP - HUMAN RESOURCES | NA | Control |
| BERMAN, WALTER, S | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| BERMAN, WALTER, S | I | DIRECTOR | NA | Control |
| BERMAN, WALTER, S | I | DIRECTOR, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| CARTER, MARK, WILLIAM | I | DIRECTOR, SVP, CHIEF MARKETING OFFICER | NA | Control |
| CHENAULT, KENNETH, I | I | DIRECTOR | NA | Control |
| CHENAULT, KENNETH, I | I | DIRECTOR | NA | Control |
| CHENAULT, KENNETH, I | I | DIRECTOR | NA | Control |
| CRACCHIOLO, JAMES, MICHAEL | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| CRACCHIOLO, JAMES, MICHAEL | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| CRACCHIOLO, JAMES, MICHAEL | I | DIRECTOR, COB, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| CRACCHIOLO, JAMES, MICHAEL | I | DIRECTOR, COB, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| CRACCHIOLO, JAMES, MICHAEL | I | DIRECTOR, COB, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| FRASER, BARBARA, HELEN | I | EVP - CHIEF MARKETING OFFICER | NA | Control |
| GOLUB, HARVEY | I | DIRECTOR | NA | Control |
| HANRATTY, TERESA, ANNE | I | DIRECTOR, SVP - FIELD MANAGEMENT | NA | Control |
| HEATH, BRIAN, MICHAEL | I | PRESIDENT, U.S. ADVISOR GROUP | NA | Control |
| HEATH, BRIAN, MICHAEL | I | DIRECTOR, SVP - GENERAL SALES MANAGER | NA | Control |
| HEATH, BRIAN, MICHAEL | I | SENIOR VICE PRESIDENT - ADVISOR GROUP | NA | Control |
| HUNTER, KELLI, ANN | I | EXECUTIVE VICE PRESIDENT, HUMAN RESOURCES | NA | Control |
| JOHNS, MARIETTA, LOUISE | I | DIRECTOR, SVP - FIELD MANAGEMENT | NA | Control |
| JUNEK, JOHN, CARL | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | NA | Control |
| JUNEK, JOHN, CARL | I | DIRECTOR, SVP, GENERAL COUNSEL | NA | Control |
| JUNEK, JOHN, CARL | I | SVP, GENERAL COUNSEL | NA | Control |
| JUNEK, JOHN, CARL | I | SVP, GENERAL COUNSEL | NA | Control |
| JUNEK, JOHN, CARL | I | SVP, GENERAL COUNSEL | NA | Control |
| KEELEY, MICHELLE, MARIE | I | SVP - FIXED INCOME | NA | Control |
| KUMAGAI, STEVEN, CRAIG | I | DIRECTOR, SVP - DIRECT AND INTERACTIVE GROUP | NA | Control |
| MORET, PAMELA, J | I | DIRECTOR, SVP - PRODUCTS GROUP | NA | Control |
| MORRIS, HOLLY | I | SENIOR VICE PRESIDENT - TECHNOLOGIES | NA | Control |
| MURPHY, BARRY, J | I | DIRECTOR, EVP - US RETAIL GROUP | NA | Control |
| MURPHY, BARRY, J | I | EVP - US RETAIL GROUP | NA | Control |
| PERRINE, THOMAS, PAUL | I | DIRECTOR, SVP-GROUP RELATIONSHIP LEADER | NA | Control |
| QUIRSFELD, FREDERICK, CHARLES | I | DIRECTOR, SVP - FIXED INCOME | NA | Control |
| ROLOFF, REBECCA, KOENIG | I | DIRECTOR, SVP - FIELD MGMT AND FIELD ADVISORY SVCS | NA | Control |
| ROSZELL, STEPHEN, WESLEY | I | DIRECTOR, SVP - INSTITUTIONAL | NA | Control |
| ROSZELL, STEPHEN, WESLEY | I | SVP - INSTITUTIONAL | NA | Control |
| SALOW, GLEN | I | EXECUTIVE VICE PRESIDENT, TECHNOLOGY AND OPERATIONS | NA | Control |
| SAMSEL, ERVEN, ALLEN | I | DIRECTOR, SVP - FIELD MANAGEMENT | NA | Control |
| SCHWARZMANN, MARK, EDWARD | I | PRESIDENT, INSURANCE, ANNUITIES AND PRODUCT DISTRIBUTION | NA | Control |
| SCHWARZMANN, MARK, EDWARD | I | DIRECTOR | NA | Control |
| SCHWARZMANN, MARK, EDWARD | I | SENIOR VICE PRESIDENT - INSURANCE AND ANNUITIES | NA | Control |
| SEDLACEK, STUART, ALAN | I | DIRECTOR, SVP, CFO | NA | Control |
| SHARAN, KIM, MICHELE | I | EXECUTIVE VICE PRESIDENT AND CHIEF MARKETING OFFICER | NA | Control |
| SHARAN, KIM, MICHELE | I | SENIOR VICE PRESIDENT, CHIEF MARKETING OFFICER | NA | Control |
| STEWART, DAVID, KENT | I | ACTING CFO | NA | Control |
| STOCKDALE-BOON, CAROLINE | I | SENIOR VICE PRESIDENT - HUMAN RESOURCES | NA | Control |
| SWEENEY, JOSEPH, EDWARD | I | PRESIDENT, FINANCIAL PLANNING, PRODUCTS AND SERVICES | NA | Control |
| SWEENEY, JOSEPH, EDWARD | I | SENIOR VICE PRESIDENT - US BROKERAGE AND MEMBERSHIP BANKING | NA | Control |
| TRUSCOTT, WILLIAM, FREDERICK | I | PRESIDENT, U.S. ASSET MANAGEMENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| TRUSCOTT, WILLIAM, FREDERICK | I | SVP, CIO | NA | Control |
| TRUSCOTT, WILLIAM, FREDERICK | I | SVP, CIO | NA | Control |
| TRUSCOTT, WILLIAM, FREDERICK | I | SVP, CIO | NA | Control |
| WEAVER, NORMAN | I | DIRECTOR, SVP - ALLIANCE GROUP | NA | Control |
| WEIMER, BETH, ELLEN | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| WEIMER, BETH, ELLEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WEIMER, BETH, ELLEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WEIMER, BETH, ELLEN | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| WOERNER, JOHN, ROBERT | I | SENIOR VICE PRESIDENT, STRATEGIC PLANNING AND BUSINESS DEVELOPMENT | NA | Control |
| WOODWARD, MICHAEL, REID | I | DIRECTOR, SVP - FIELD MANAGEMENT | NA | Control |
| AMERICAN EXPRESS COMPANY | DE | STOCKHOLDER | E | Control |
| AMERICAN EXPRESS COMPANY | DE | STOCKHOLDER | E | Control |
| AMERICAN EXPRESS COMPANY | DE | STOCKHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| AMERICAN EXPRESS COMPANY | DE | AMERICAN EXPRESS FINANCIAL CORPORATION | E | Control |
Registrations
Federal
IA
Oct 10, 2005 REGISTERED
Notice Filings (6)
CA MA MD MN NJ NY
Address
50605 AMERIPRISE FINANCIAL CENTERMINNEAPOLIS, MN 55474
USA
Phone: 612-671-3452