Kim D. Isaacson

Some features on this profile are disabled

CRD#: 855618

Professional summary

Kim Dee Isaacson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kim is a previously registered financial professional and started their career in finance in 1978. Prior to being barred, Kim had worked at 11 firms, which includes AMERIPRISE FINANCIAL SERVICES LLC, MORGAN STANLEY, MORGAN STANLEY & CO. LLC, UBS FINANCIAL SERVICES INC., PIPER SANDLER & CO., RBC CAPITAL MARKETS LLC, DAIN RAUSCHER INCORPORATED, LEHMAN BROTHERS INC., FOSTER & MARSHALL INC., E. F. HUTTON & COMPANY INC, NORTH AMERICAN MANAGEMENT INC..

Question & Answer

Are you a "fiduciary"?

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

February 27, 2014 - July 25, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MIDVALE, UT

Past

February 26, 2014 - August 7, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MIDVALE, UT

Past

June 1, 2009 - February 18, 2014

MORGAN STANLEY

RIA

CRD#: 149777

SALT LAKE CITY, UT

Past

June 1, 2009 - February 18, 2014

MORGAN STANLEY

CRD#: 149777

SALT LAKE CITY, UT

Past

December 2, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SALT LAKE CITY, UT

Past

December 2, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

SALT LAKE CITY, UT

Past

August 12, 2006 - December 16, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SALT LAKE CITY, UT

Past

August 12, 2006 - December 16, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SALT LAKE CITY, UT

Past

August 29, 2000 - August 12, 2006

PIPER SANDLER & CO.

RIA

CRD#: 665

SALT LAKE CITY, UT

Past

February 4, 2000 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

SALT LAKE CITY, UT

Past

March 2, 1998 - February 8, 2000

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

January 26, 1995 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

December 10, 1987 - March 9, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 30, 1984 - December 23, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

Past

May 3, 1982 - February 27, 1984

FOSTER & MARSHALL INC.

CRD#: 321

Past

July 3, 1981 - April 22, 1982

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

February 19, 1979 - June 24, 1981

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

August 9, 1978 - March 26, 1979

NORTH AMERICAN MANAGEMENT, INC.

CRD#: 624

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

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

RIA

Registered Investment Advisory firm - SEC (12/5/1986 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/25/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/19/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/25/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/13/1982

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/21/1979

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 8/5/1978

Registered Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/26/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/20/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

AMERIPRISE FINANCIAL SERVICES, LLC

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

RIA

Registered Investment Advisory firm - SEC (12/5/1986 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

FINRA licenses (53 States and Territories)

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

Name	Position	CRD#
AMPF HOLDING, LLC	SHAREHOLDER
DOREN, MITCHELL DAVID	REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER)	2129844
FLEMING, JOSEPH DANIEL	SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	2093776
MATTOX, MICHAEL SCOTT	VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER	4383501
O'CONNELL, PATRICK HUGH	DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT	2246285
SWEENEY, JOSEPH EDWARD	PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER	4668713
WILLIAMS, WILLIAM JERRYL	EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER	1954117

Regulatory assets under management

Total Number of Accounts	2,281,153
AUM (Assets Under Management)	$ 564,622,896,919

Disclosures

Regulatory Event	79
Civil Event	1
Arbitration	103

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form 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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kim D. Isaacson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

PIPER SANDLER & CO.

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

FOSTER & MARSHALL INC.

UBS FINANCIAL SERVICES INC.

E. F. HUTTON & COMPANY INC

NORTH AMERICAN MANAGEMENT, INC.

Primary Firm SEC Registration

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/25/1996

Series 63

Date: 8/19/1982

SIE

Date: 7/25/2017

Series 3

Date: 12/13/1982

Series 7

Date: 4/21/1979

Series 1

Date: 8/5/1978

Series 10

Date: 6/26/2000

Series 9

Date: 6/20/2000

Current Firm

AMERIPRISE FINANCIAL SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

AMERIPRISE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors