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Theodore Horwith

Vice President - Controller, Chief Financial Officer and Principal Financial Officer at Ameriprise Financial Services

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

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Theodore Horwith is Vice President - Controller, Chief Financial Officer and Principal Financial Officer of Ameriprise Financial Services, LLC, a Minneapolis investment adviser managing $660B. Theodore Horwith has a current broker registration and no current investment-adviser registration and has passed the Series 99TO, SIE and Series 27.

Role at Ameriprise Financial Services

Title on Schedule A
Vice President - Controller, Chief Financial Officer and Principal Financial Officer
Control
Theodore Horwith is a control person of Ameriprise Financial Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
Theodore Horwith has held the filed role since May 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 99TO, SIE and Series 27 · 2020

Registrations and exams

Broker registration; no current adviser registration. Theodore Horwith has passed 3 qualifying exams.

Examinations

Series 2722 September 2020
Name
Financial and Operations Principal Examination
Series 99TO11 March 2020
Name
Operations Professional Examination
SIE11 March 2020
Name
Securities Industry Essentials Examination

Individual record

Full name
Theodore Robert Horwith
CRD
3257001
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 Theodore Horwith work?

Theodore Horwith has been Vice President - Controller, Chief Financial Officer and Principal Financial Officer of Ameriprise Financial Services, LLC since May 2026, and is a control person of the firm.

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

Does Theodore Horwith have a current investment-adviser registration?

Theodore Horwith 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 Theodore Horwith passed?

Theodore Horwith has passed 3 licensing exams: the Series 99TO, SIE and Series 27. The earliest, the Series 99TO, was passed in March 2020.

Source: IAPD individual record, checked 17 October 2026

Leadership at Ameriprise Financial Services

Sources

  1. IAPD individual record, CRD 3257001. 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 Theodore Horwith 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.