CRD #6363 · FINRA BrokerCheck + SEC IAPD

Ameriprise Financial Services, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ameriprise Financial Services, LLC ranks #28 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #2 of 42 on the same disclosure sort used on the state browse page. Ameriprise Financial Services, LLC carries 184 BrokerCheck disclosures across 15,626 branch offices - light load for a national firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
15,626
branch offices
184
disclosures
#28 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 6363 Ameriprise Financial Services, LLC

Ameriprise Financial Services, LLC · Grade B · 184 disc · 0.01/office · National firm

  • CRD 6363
  • GRADE B
  • DISC 184
  • REG 80
  • ARB 103
  • CIV 1
  • BRANCH 15,626
  • PER-OFF 0.01
  • RANK #28 of 20,055
  • BOOK National firm

Intensity peers

Nearest same-size peer: PNC Wealth Management LLC (0.01 disc/office)

PNC Wealth Management LLC0.01Principal Securities, Inc.0.01Truist Investment Servi…0.01Ameriprise Financia… (this)0.01
Disclosures per office among national firm peers (lower is cleaner)

Ameriprise Financial Services, LLC ranks #28 of 20,055 by disclosure count among graded broker-dealers; light load at 0.01 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

15,626 offices

FINRA: Large firm

Total disclosures

184 events

On FINRA BrokerCheck

Regulatory events

80 actions

43% of all disclosures

Disclosures per office

0.01 per office

184 ÷ 15,626 offices

Ameriprise Financial Services, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 98% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 80
Arbitrations 103
Civil Events 1
Total 184

Counts for Ameriprise Financial Services, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 80 Arbitration 103 Civil 1

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Minneapolis, MN
CRD Number
6363

Lower disclosures per office

Ameriprise Financial Services, LLC in the heavier-disclosure third

Ameriprise Financial Services, LLC carries 184 BrokerCheck disclosures across 15,626 branch offices - a heavier-third raw book among graded firms (#28 of 20,055). Mix is 80 regulatory, 103 arbitration, and 1 civil (43% regulator share).

Ameriprise Financial Services, LLC runs 0.01 disclosures per branch office (cleaner than 98% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Ameriprise Financial Services, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Minnesota cohort · 14× state average

Ameriprise Financial Services, LLC sits above the Minnesota disclosure average

Ameriprise Financial Services, LLC reports 184 BrokerCheck disclosures, 14× the Minnesota average of 13.1 across 42 graded firms with a principal-office state on file.

In Minnesota, 18 firms carry Grade A and 1 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Minnesota state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Ameriprise Financial Services, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ameriprise Financial Services, LLC ranks #28 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #2 of 42 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Ameriprise Financial Services, LLC?
A grade of B reflects Ameriprise Financial Services, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (national firm). It carries 184 total disclosures across 15,626 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Ameriprise Financial Services, LLC have?
Ameriprise Financial Services, LLC has 184 total FINRA disclosures, including 80 regulatory events, 103 arbitrations, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Ameriprise Financial Services, LLC?
Ameriprise Financial Services, LLC operates 15,626 branch offices and is classified by FINRA as a large firm, registered in MN (National firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Ameriprise Financial Services, LLC's disciplinary record?
You can verify Ameriprise Financial Services, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 6363. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Ameriprise Financial Services, LLC's 184 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Ameriprise Financial Services, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Ameriprise Financial Services, LLC carries 184 disclosures across 15,626 branch offices (about 0.01 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Ameriprise Financial Services, LLC, both outside MN so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • PNC Wealth Management LLC (PA) - 0.01 disclosures/office, nearest national firm peer to Ameriprise Financial Services, LLC's 0.01
  • Principal Securities, Inc. (IA) - 0.01 disclosures/office, nearest national firm peer to Ameriprise Financial Services, LLC's 0.01
  • Truist Investment Services, Inc. (GA) - 0.01 disclosures/office, nearest national firm peer to Ameriprise Financial Services, LLC's 0.01
  • Firms in MN - state roster that includes Ameriprise Financial Services, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Ameriprise Financial Services, LLC.
  • Reading BrokerCheck Reports - How Ameriprise Financial Services, LLC's 0.01 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Ameriprise Financial Services, LLC.
  • Compare firms - put Ameriprise Financial Services, LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.