AMERIPRISE FINANCIAL SERVICES, LLC

1 BrokerCheck ReportAMERIPRISE FINANCIAL SERVICES, LLCS ection TitleReport SummaryFirm HistoryCRD# 636317 Firm Profile2 - 6 Page(s)Firm Operations8 - 31 Disclosure Events32 Please be aware that fraudsters may link to BrokerCheck from phishing and similar scam websites, trying to steal your personal information or your sure you know who you re dealing with when investing, and contact FINRA with any more information read ourinvestor alerton BrokerCheck BrokerCheck offers information on all current, and many former, registered securities brokers, and all current and formerregistered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background ofsecurities brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them.

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5 Your state securities regulator can help you research brokers and investment adviserrepresentatives doing business in your state. Thank you for using FINRA more information aboutFINRA, visit this site/information meansthat you accept the FINRAB rokerCheck Terms andConditions. A complete list ofTerms and Conditions can befound atFor additional information aboutthe contents of this report, pleaserefer to the User Guidance Itprovides a glossary of terms and alist of frequently asked questions,as well as additional FINANCIAL SERVICES, LLCCRD# 6363 SEC# 8-16791 Main Office Location707 2ND AVENUE SOUTHMINNEAPOLIS, MN 55402 Regulated by FINRA Kansas City OfficeMailing Address5221 AMERIPRISE FINANCIAL CENTERMINNEAPOLIS, MN 55474 This firm is a brokerage firm and an investmentadviser firm.

6 For more information aboutinvestment adviser firms, visit the SEC'sInvestment Adviser Public Disclosure website at:Business Telephone Number612-671-3131 Summary for this FirmThis report summary provides an overview of the brokerage firm. Additional information for this firm can be foundin the detailed EventsBrokerage firms are required to disclose certaincriminal matters, regulatory actions, civil judicialproceedings and FINANCIAL matters in which the firm orone of its control affiliates has been there events disclosed about this firm?YesThe number of disclosures from non-registeredcontrol affiliates is 22 The following types of disclosures have beenreported:TypeCountRegulatory Event78 Civil Event1 Arbitration101 Firm ProfileThis firm is classified as a limited liability firm was formed in Delaware on 06/14 fiscal year ends in HistoryInformation relating to the brokerage firm's historysuch as other business names and successions( , mergers, acquisitions) can be found in thedetailed OperationsIs this brokerage firm currently suspended with anyregulator?

7 NoThis firm conducts 18 types of firm is affiliated with FINANCIAL or firm has referral or FINANCIAL arrangements withother brokers or firm is registered with: the SEC 1 Self-Regulatory Organization 53 states and Guidance1 2023 FINRA. All rights reserved. Report about AMERIPRISE FINANCIAL SERVICES, GuidanceThis firm is classified as a limited liability firm was formed in Delaware on 06/14 #This section provides the brokerage firm's full legal name, "Doing Business As" name, business and mailingaddresses, telephone number, and any alternate name by which the firm conducts business and where such name ProfileFirm Names and LocationsIts fiscal year ends in FINANCIAL SERVICES, LLCSEC#63638-16791 Main Office LocationMailing AddressBusiness Telephone NumberDoing business as AMERIPRISE FINANCIAL SERVICES.

8 LLC612-671-3131 Regulated by FINRA Kansas City Office707 2ND AVENUE SOUTHMINNEAPOLIS, MN 554025221 AMERIPRISE FINANCIAL CENTERMINNEAPOLIS, MN 554742 2023 FINRA. All rights reserved. Report about AMERIPRISE FINANCIAL SERVICES, GuidanceThis section provides information relating to all direct owners and executive officers of the brokerage Owners and executive OfficersFirm ProfilePositionPercentage of OwnershipIs this a public reportingcompany?Position Start DateDoes this owner direct themanagement or policies ofthe firm?AMPF HOLDING, LLCSHAREHOLDER75% or moreNoDomestic Entity10/2009 YesIs this a domestic or foreignentity or an individual?

9 Legal Name & CRD# (if any):PositionPercentage of OwnershipIs this a public reportingcompany?Position Start DateDoes this owner direct themanagement or policies ofthe firm?BARTYLLA, JASON SCOTTVICE PRESIDENT, CHIEF FINANCIAL OFFICER AND CONTROLLERLess than 5%NoIndividual05/2022 Yes2596672Is this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):PositionPercentage of OwnershipPosition Start DateDOREN, MITCHELL DAVIDREGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER)Less than 5%Individual02/20162129844Is this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):3 2023 FINRA. All rights reserved.

10 Report about AMERIPRISE FINANCIAL SERVICES, GuidanceDirect Owners and executive Officers (continued)Firm ProfilePercentage of OwnershipIs this a public reportingcompany?Does this owner direct themanagement or policies ofthe firm?Less than 5%NoYesPositionPercentage of OwnershipIs this a public reportingcompany?Position Start DateDoes this owner direct themanagement or policies ofthe firm?FLEMING, JOSEPH DANIELSENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICERLess than 5%NoIndividual02/2018 Yes2093776Is this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):PositionPercentage of OwnershipIs this a public reportingcompany?