SEC Info - Ameriprise Financial Services, Inc.

EDGAR Submission

Header Data:

Submission Type: MA-I

Filer Info:

Filer:

Filer ID: 49709

Filer CCC: XXXXXXXX

Contact:

Name: Pat Campbell

Phone Number: 612-671-2496

Contact Email: pat.campbell@ampf.com

Form Data:

Is Amendment? No

Applicant Name:

First Name: Kevin

Middle Name: William

Last Name: Walter

Applicant CRD Num.: 004171200

Has More Than One Advisory Firms? No

No of Advisory Firms: 1

Municipal Advisor Offices:

Municipal Advisor Office:

Municipal Firm:

Municipal Filer:

Filer ID: 49709

Municipal Firm Name: AMERIPRISE FINANCIAL SERVICES, INC.

Recent Employment Commenced Date: 4/8/00

Is Independent Relatioship? Yes

MA Registration:

Not SEC Registered:

Has Filed?

Filing Date: 9/29/14

CIK: 49709

Advisor Offices:

Advisor Office:

Location Info: LOCATED

Start Date: 3/29/02

Address Info:

Address:

Street 1: 203 2nd St NE

Street 2: box 108

City: Waseca

State or Country: MN

ZIP Code: 56093

Advisor Office:

Location Info: SUPERVISED

Start Date: 1/1/11

Address Info:

Address:

Street 1: 722 Lake Ave

City: Storm Lake

State or Country: IA

ZIP Code: 50588-1184

Residential History:

Employment History:

Current Employer:

Start Date: 04-2000

Name: Ameriprise Financial Services, Inc.

Address Info:

City: Minneapolis

State or Country:

State or Country: MN

ZIP Code: 55402

Is Related to Municipal Advisor? Yes

Is Related to Investment? Yes

Position Description: Financial Advisor

Is Engaged in Other Business? Yes

Other Businesses:

Other Business:

Start Date: 10-2013

Name: Waseca Medical Center - Mayo Health System

Address Info:

Street 1: 501 N State Street

City: Waseca

State or Country: MN

ZIP Code: 56093

Is Related to Municipal Advisor? No

Is Related to Investment? No

Nature of Business: This is a hospital and clinic that is owned and operated under the Mayo clinic umbrella

Position Description: Director

Approximate Hours or Months: 4

Duties Description: attend meetings

Disclosure Questions:

Criminal Disclosure:

Criminal Disclosure Common Question:

Is Convicted of Felony? No

Is Charged With Felony? No

Is Org. Convicted of Felony? No

Is Org. Charged With Felony? No

Is Convicted of Misdemeanor? No

Is Charged With Misdemeanor? No

Is Org. Convicted of Misdemeanor? No

Is Org. Charged With Misdemeanor? No

Regulatory Disclosure:

Regulatory Disclosure Common Question:

Is Made False Statement? No

Is Violated Regulation? No

Is Cause of Denial? No

Is Order Against? No

Is Imposed Penalty? No

Is Unethical? No

Is Found in Violation of Regulation? No

Is Found in Cause of Denial? No

Is Order Against Activity? No

Is Denied License? No

Is Found Made False Statement? No

Is Found in Violation of Rules? No

Is Found in Cause of Suspension? No

Is Discipliend? No

Is Authorized to Act Attorney? No

Is Regulatory Complaint? No

Is Violated Security Act? No

Is Willfully Aided? No

Is Failed to Supervise? No

Is Found Willfully Aided? No

Is Association Bared? No

Is Final Order? No

Is Willfully Violated Security Act? No

Is Failed Resonably? No

Investigation Disclosure:

Is Investigated? No

Civil Disclosure:

Is Enjoined? No

Is Found in Violation of Regulation? No

Is Dismissed? No

Is Named in Civil Proceeding? No

Complaint Disclosure:

Is Complaint Pending? No

Is Complaint Settled? No

Is Fraud Case Pending? No

Is Fraud Case Resulted Award? No

Is Fraud Case Settled? No

Termination Disclosure:

Is Viloated Industry Standard? No

Is Involved in Fraud? No

Is Failed to Supervise? No

Financial Disclosure:

Is Compromised? No

Is Bankruptcy Petition? No

Is Trustee Apointed? No

Is Bond Revoked? No

Judgment Lien Disclosure:

Is Lien Against? No

Signature Info:

Signature:

Date Signed: 9/29/14

Signature: Rockell Metcalf

Title: Vice President & Chief Counsel | Advice & Wealth Management

Ameriprise Financial Services, Inc. – ‘MA-I’ on 11/20/14

On: Thursday, 11/20/14, at 4:09pm ET · As of: 9/30/14 · Accession #: 49709-14-43 · File #: 868-04114

Previous ‘MA-I’: ‘MA-I’ on 11/3/14 · Next: ‘MA-I’ on 9/29/14 · Latest: ‘MA-I/A’ on 6/2/17

Information Regarding a Natural Person Who Engages in Municipal Advisory Activities — Form MA-I
Filing Table of Contents

This ‘MA-I’ Document is an XML Data File that may be rendered in various formats:

Ameriprise Financial Services, Inc. – ‘MA-I’ on 11/20/14

On: Thursday, 11/20/14, at 4:09pm ET · As of: 9/30/14 · Accession #: 49709-14-43 · File #: 868-04114

Previous ‘MA-I’: ‘MA-I’ on 11/3/14 · Next: ‘MA-I’ on 9/29/14 · Latest: ‘MA-I/A’ on 6/2/17

Information Regarding a Natural Person Who Engages in Municipal Advisory Activities — Form MA-IFiling Table of Contents

This ‘MA-I’ Document is an XML Data File that may be rendered in various formats:

Information Regarding a Natural Person Who Engages in Municipal Advisory Activities — Form MA-I
Filing Table of Contents