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Building 2AMERICAN EXPRESS BANK, FSB

Map pinMINNEAPOLIS, MN
Phone1-800-461-1726
NotebookSEC #801-57884
Total AUM
$215M
Employees
151
Clients
0

Firm overview

UsersClient Breakdown by AUM

Circle dollar signAUM previous 5 years

Smooth Smooth / Detailed

HotelBusiness

Principal Address
1581 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN 55474
USA
Operating Hours
8:30 AM TO 5:00 PM
Monday - Friday
Phone
1-800-461-1726

ReceiptFinancials

Total AUM
$215M
Accounts
587
Discretionary
$214.4M
Accounts
585
Non-Discretionary
$578K
Accounts
2

ContactClients

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None reported

Briefcase businessServices

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Services Offered
Individual Portfolio ManagementMarket TimingPension Consulting
Compensation Types
Charges Fixed FeeCharges Percentage AUM

Shield checkCompliance

Disclosures
License Revocation/SuspensionOther Regulator Denial/Suspension/RevocationOther Regulator False Statement/DishonestyOther Regulator Order (Past 10 Years)Other Regulator Violation FindingPending Regulatory ProceedingSEC/CFTC Order EntrySEC/CFTC Penalty/Cease-and-DesistSEC/CFTC Violation FindingSRO Discipline/Expulsion/SuspensionSRO False Statement FindingSRO Rule Violation
State Registrations

None reported

HandshakeAffiliates

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Affiliates
Reported 14 business affiliates.
Claimed Affiliates
Reported as an affiliate by 2 other businesses.

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