| | | | | | | | | | | | | | | | | | | | | | |
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| | <submissionType> MA-I </submissionType> |
| | <filerInfo> |
| | | <com:filer> |
| <com1:filerId> 0000049709 </com1:filerId> |
| <com1:filerCcc> XXXXXXXX </com1:filerCcc> |
| </com:filer> |
| | | <com:contact> |
| <com1:name> Pat Campbell </com1:name> |
| <com1:phoneNumber> 612-671-2496 </com1:phoneNumber> |
| </com:contact> |
| | | <com:contactEmail> pat.campbell@ampf.com </com:contactEmail> |
| | | </filerInfo> |
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| <formData> |
| | <isAmendment> N </isAmendment> |
| | <applicantName> |
| | | <com:firstName> Kevin </com:firstName> |
| | | <com:middleName> William </com:middleName> |
| | | <com:lastName> Walter </com:lastName> |
| | | </applicantName> |
| | <applicantCrdNum> 004171200 </applicantCrdNum> |
| | <hasMoreThanOneAdvisoryFirms> N </hasMoreThanOneAdvisoryFirms> |
| | <noOfAdvisoryFirms> 1 </noOfAdvisoryFirms> |
| | <municipalAdvisorOffices> |
| | | <municipalAdvisorOffice> |
| <municipalFirm> |
| <municipalFiler> |
| <filerId> 0000049709 </filerId> |
| </municipalFiler> |
| <municipalFirmName> AMERIPRISE FINANCIAL SERVICES, INC. </municipalFirmName> |
| <recentEmploymentCommencedDate> 04-08-2000 </recentEmploymentCommencedDate> |
| <isIndependentRelatioship> Y </isIndependentRelatioship> |
| </municipalFirm> |
| <maRegistration> |
| <notSecRegistered> |
| <hasFiled> |
| <filingDate> 09-29-2014 </filingDate> |
| <cik> 0000049709 </cik> |
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| </maRegistration> |
| <advisorOffices> |
| <advisorOffice> |
| <locationInfo> LOCATED </locationInfo> |
| <startDate> 03-29-2002 </startDate> |
| <addressInfo> |
| <com:address> |
| <com1:street1> 203 2nd St NE </com1:street1> |
| <com1:street2> box 108 </com1:street2> |
| <com1:city> Waseca </com1:city> |
| <com1:stateOrCountry> MN </com1:stateOrCountry> |
| <com1:zipCode> 56093 </com1:zipCode> |
| </com:address> |
| </addressInfo> |
| </advisorOffice> |
| <advisorOffice> |
| <locationInfo> SUPERVISED </locationInfo> |
| <startDate> 01-01-2011 </startDate> |
| <addressInfo> |
| <com:address> |
| <com1:street1> 722 Lake Ave </com1:street1> |
| <com1:city> Storm Lake </com1:city> |
| <com1:stateOrCountry> IA </com1:stateOrCountry> |
| <com1:zipCode> 50588-1184 </com1:zipCode> |
| </com:address> |
| </addressInfo> |
| </advisorOffice> |
| </advisorOffices> |
| </municipalAdvisorOffice> |
| | | </municipalAdvisorOffices> |
| | <residentialHistory></residentialHistory> |
| | <employmentHistory> |
| | | <currentEmployer> |
| <startDate> 04-2000 </startDate> |
| <name> Ameriprise Financial Services, Inc. </name> |
| <addressInfo> |
| <city> Minneapolis </city> |
| <stateOrCountry> |
| <com1:stateOrCountry> MN </com1:stateOrCountry> |
| </stateOrCountry> |
| <zipCode> 55402 </zipCode> |
| </addressInfo> |
| <isRelatedToMunicipalAdvisor> Y </isRelatedToMunicipalAdvisor> |
| <isRelatedToInvestment> Y </isRelatedToInvestment> |
| <positionDescription> Financial Advisor </positionDescription> |
| </currentEmployer> |
| | | </employmentHistory> |
| | <isEngagedInOtherBusiness> Y </isEngagedInOtherBusiness> |
| | <otherBusinesses> |
| | | <otherBusiness> |
| <startDate> 10-2013 </startDate> |
| <name> Waseca Medical Center - Mayo Health System </name> |
| <addressInfo> |
| <com1:street1> 501 N State Street </com1:street1> |
| <com1:city> Waseca </com1:city> |
| <com1:stateOrCountry> MN </com1:stateOrCountry> |
| <com1:zipCode> 56093 </com1:zipCode> |
| </addressInfo> |
| <isRelatedToMunicipalAdvisor> N </isRelatedToMunicipalAdvisor> |
| <isRelatedToInvestment> N </isRelatedToInvestment> |
| <natureOfBusiness> This is a hospital and clinic that is owned and operated under the Mayo clinic umbrella </natureOfBusiness> |
| <positionDescription> Director </positionDescription> |
| <approximateHoursOrMonths> 4 </approximateHoursOrMonths> |
| <dutiesDescription> attend meetings </dutiesDescription> |
| </otherBusiness> |
| | | </otherBusinesses> |
| | <disclosureQuestions> |
| | | <criminalDisclosure> |
| <criminalDisclosureCommonQuestion> |
| <com:isConvictedOfFelony> N </com:isConvictedOfFelony> |
| <com:isChargedWithFelony> N </com:isChargedWithFelony> |
| <com:isOrgConvictedOfFelony> N </com:isOrgConvictedOfFelony> |
| <com:isOrgChargedWithFelony> N </com:isOrgChargedWithFelony> |
| </criminalDisclosureCommonQuestion> |
| <isConvictedOfMisdemeanor> N </isConvictedOfMisdemeanor> |
| <isChargedWithMisdemeanor> N </isChargedWithMisdemeanor> |
| <isOrgConvictedOfMisdemeanor> N </isOrgConvictedOfMisdemeanor> |
| <isOrgChargedWithMisdemeanor> N </isOrgChargedWithMisdemeanor> |
| </criminalDisclosure> |
| | | <regulatoryDisclosure> |
| <regulatoryDisclosureCommonQuestion> |
| <com:isMadeFalseStatement> N </com:isMadeFalseStatement> |
| <com:isViolatedRegulation> N </com:isViolatedRegulation> |
| <com:isCauseOfDenial> N </com:isCauseOfDenial> |
| <com:isOrderAgainst> N </com:isOrderAgainst> |
| <com:isImposedPenalty> N </com:isImposedPenalty> |
| <com:isUnEthical> N </com:isUnEthical> |
| <com:isFoundInViolationOfRegulation> N </com:isFoundInViolationOfRegulation> |
| <com:isFoundInCauseOfDenial> N </com:isFoundInCauseOfDenial> |
| <com:isOrderAgainstActivity> N </com:isOrderAgainstActivity> |
| <com:isDeniedLicense> N </com:isDeniedLicense> |
| <com:isFoundMadeFalseStatement> N </com:isFoundMadeFalseStatement> |
| <com:isFoundInViolationOfRules> N </com:isFoundInViolationOfRules> |
| <com:isFoundInCauseOfSuspension> N </com:isFoundInCauseOfSuspension> |
| <com:isDiscipliend> N </com:isDiscipliend> |
| <com:isAuthorizedToActAttorney> N </com:isAuthorizedToActAttorney> |
| <com:isRegulatoryComplaint> N </com:isRegulatoryComplaint> |
| </regulatoryDisclosureCommonQuestion> |
| <isViolatedSecurityAct> N </isViolatedSecurityAct> |
| <isWillFullyAided> N </isWillFullyAided> |
| <isFailedToSupervise> N </isFailedToSupervise> |
| <isFoundWillFullyAided> N </isFoundWillFullyAided> |
| <isAssociationBared> N </isAssociationBared> |
| <isFinalOrder> N </isFinalOrder> |
| <isWillFullyViolatedSecurityAct> N </isWillFullyViolatedSecurityAct> |
| <isFailedResonably> N </isFailedResonably> |
| </regulatoryDisclosure> |
| | | <investigationDisclosure> |
| <isInvestigated> N </isInvestigated> |
| </investigationDisclosure> |
| | | <civilDisclosure> |
| <com:isEnjoined> N </com:isEnjoined> |
| <com:isFoundInViolationOfRegulation> N </com:isFoundInViolationOfRegulation> |
| <com:isDismissed> N </com:isDismissed> |
| <com:isNamedInCivilProceeding> N </com:isNamedInCivilProceeding> |
| </civilDisclosure> |
| | | <complaintDisclosure> |
| <isComplaintPending> N </isComplaintPending> |
| <isComplaintSettled> N </isComplaintSettled> |
| <isFraudCasePending> N </isFraudCasePending> |
| <isFraudCaseResultedAward> N </isFraudCaseResultedAward> |
| <isFraudCaseSettled> N </isFraudCaseSettled> |
| </complaintDisclosure> |
| | | <terminationDisclosure> |
| <isViloatedIndustryStandard> N </isViloatedIndustryStandard> |
| <isInvolvedInFraud> N </isInvolvedInFraud> |
| <isFailedToSupervise> N </isFailedToSupervise> |
| </terminationDisclosure> |
| | | <financialDisclosure> |
| <isCompromised> N </isCompromised> |
| <isBankruptcyPetition> N </isBankruptcyPetition> |
| <isTrusteeApointed> N </isTrusteeApointed> |
| <isBondRevoked> N </isBondRevoked> |
| </financialDisclosure> |
| | | <judgmentLienDisclosure> |
| <isLienAgainst> N </isLienAgainst> |
| </judgmentLienDisclosure> |
| | | </disclosureQuestions> |
| | <signatureInfo> |
| | | <com:signature> |
| <com:dateSigned> 09-29-2014 </com:dateSigned> |
| <com:signature> Rockell Metcalf </com:signature> |
| <com:title> Vice President & Chief Counsel | Advice & Wealth Management </com:title> |
| </com:signature> |
| | | </signatureInfo> |
| | </formData> |
| </edgarSubmission> |
