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Brett Flansburg

Senior Vice President and Chief Compliance Officer at Ameriprise Financial Services

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
9
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Brett Flansburg is Senior Vice President and Chief Compliance Officer of Ameriprise Financial Services, LLC, a Minneapolis investment adviser managing $660B. Brett Flansburg has a current broker registration and no current investment-adviser registration and has passed 9 licensing exams.

Role at Ameriprise Financial Services

Title on Schedule A
Senior Vice President and Chief Compliance Officer
Control
Brett Flansburg is a control person of Ameriprise Financial Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
Brett Flansburg has held the filed role since April 2026.

The firm

Ameriprise Financial Services, LLC
Minneapolis, MN

Form ADV filed 25 September 2026

$660B AUM1,386,329 clients12,681 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 14, Series 99TO and Series 79TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 27 · 2008
  4. Passed Series 24 and Series 4 · 2000
  5. Passed Series 7 and Series 63 · 1999

Registrations and exams

Broker registration; no current adviser registration. Brett Flansburg has passed 9 qualifying exams.

Examinations

Series 6322 April 1999
Name
Uniform Securities Agent State Law Examination
Series 142 January 2023
Name
Compliance Officer Examination
Series 2726 February 2008
Name
Financial and Operations Principal Examination
Series 422 November 2000
Name
Registered Options Principal Examination
Series 2419 July 2000
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 78 March 1999
Name
General Securities Representative Examination

Individual record

Full name
Brett Flansburg
CRD
3179474
Firm
Ameriprise Financial Services, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Brett Flansburg work?

Brett Flansburg has been Senior Vice President and Chief Compliance Officer of Ameriprise Financial Services, LLC since April 2026, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 25 September 2026

Does Brett Flansburg have a current investment-adviser registration?

Brett Flansburg has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Brett Flansburg passed?

Brett Flansburg has passed 9 licensing exams: the Series 7, Series 63, Series 24, Series 4, Series 27, SIE, Series 14, Series 99TO and Series 79TO. The earliest, the Series 7, was passed in March 1999.

Source: IAPD individual record, checked 17 October 2026

Leadership at Ameriprise Financial Services

Sources

  1. IAPD individual record, CRD 3179474. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Ameriprise Financial Services, LLC, filed 25 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Brett Flansburg or Ameriprise Financial Services, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.