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Brian C. Ott

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CRD#: 3086425
BO

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Brian Christopher Ott was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1998. Brian had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 31, 2014 - January 27, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
SUWANEE, GA
Past

February 6, 2014 - January 27, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
SUWANEE, GA
Past

April 26, 2012 - January 10, 2013

FINTRUST CAPITAL ADVISORS, LLC

RIA
CRD#: 145460
ATHENS, GA
Past

November 11, 2011 - January 4, 2013

SILVER OAK SECURITIES, INCORPORATED

BD
CRD#: 46947
JACKSON, TN
Past

September 23, 2005 - July 6, 2011

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
ATLANTA, GA
Past

April 11, 2003 - August 30, 2005

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

March 4, 2003 - March 17, 2003

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
BOSTON, MA
Past

January 21, 2000 - January 16, 2003

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

July 28, 1998 - October 19, 1999

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
BIRMINGHAM, AL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.

CRD#: 6363 / SEC#: 801-28543, 8-16791

RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/24/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/20/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/27/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/27/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.

CRD#: 6363 / SEC#: 801-28543, 8-16791

RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
9013rd Avenue South, Minneapolis, MN 55402
Mailing Address
5221 Ameriprise Financial Center, Minneapolis, MN 55474
Phone number
(612) 671-3131
Established
Delaware since 06/14/1971
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
14,000

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

AMERIPRISE MANAGED ACCOUNTS (9/26/2025)
AMERIPRISE MANAGED ACCOUNTS AND FINANCIAL PLANNING SERVICE (9/26/2025)
AMERIPRISE PREMIER RETIREMENT INCOME (7/25/2025)
AMERIPRISE FINANCIAL PLANNING SERVICE - LIMITED CONSULTING SERVICES SUPPLEMENT (3/28/2025)
AMERIPRISE FINANCIAL PLANNING SERVICE - DIVORCE FINANCIAL ANALYSIS SUPPLEMENT (3/28/2025)
AMERIPRISE RETIREMENT PLAN CONSULTING SERVICES (3/28/2025)
AMERIPRISE FINANCIAL PLANNING SERVICES - FLEXIBLE SERVICE SUPPLEMENT (3/28/2025)
AMERIPRISE FINANCIAL PLANNING SERVICES (3/28/2025)
AMERIPRISE FINANCIAL PLANNING SERVICE - CONSULTING SERVICE SUPPLEMENT (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
AMPF HOLDING, LLCSHAREHOLDER
DOREN, MITCHELL DAVIDREGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER)2129844
FLEMING, JOSEPH DANIELSENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER2093776
MATTOX, MICHAEL SCOTTVICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER4383501
O'CONNELL, PATRICK HUGHDIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT2246285
SWEENEY, JOSEPH EDWARDPRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER4668713
WILLIAMS, WILLIAM JERRYLEXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER1954117

Regulatory assets under management

Total Number of Accounts2,281,153
AUM (Assets Under Management)$ 564,622,896,919

Disclosures

Regulatory Event79
Civil Event1
Arbitration103

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/19/2025
Cover Page
Report
09/23/2024
Cover Page
Report
10/24/2023
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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