-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WknhcPP5b10+yfa/kUTNhvg3Si5yu20493g7zsZgx9ZsgESuf3H+xKQ3tDWk3H8k 7an4w2iEX4C8hzqzvaHc9Q== 0001104659-08-052682.txt : 20080814 0001104659-08-052682.hdr.sgml : 20080814 20080813181224 ACCESSION NUMBER: 0001104659-08-052682 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20080813 ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20080814 DATE AS OF CHANGE: 20080813 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AMERIPRISE FINANCIAL INC CENTRAL INDEX KEY: 0000820027 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 133180631 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 081014728 BUSINESS ADDRESS: STREET 1: 1099 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 612-671-2018 MAIL ADDRESS: STREET 1: 1099 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL CORP DATE OF NAME CHANGE: 20030513 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL ADVISORS DATE OF NAME CHANGE: 19950711 FORMER COMPANY: FORMER CONFORMED NAME: IDS FINANCIAL CORP/MN/ DATE OF NAME CHANGE: 19920703 8-K 1 a08-21636_18k.htm 8-K

 

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported)

August 13, 2008

 

AMERIPRISE FINANCIAL, INC.

(Exact name of registrant as specified in its charter)

 

Delaware

 

001-32525

 

13-3180631

(State or other jurisdiction

 

(Commission

 

(IRS Employer

of incorporation)

 

File Number)

 

Identification No.)

 

 

 

 

1099 Ameriprise Financial Center
Minneapolis, Minnesota

 

55474

(Address of principal executive offices)

 

(Zip Code)

 

Registrant’s telephone number, including area code

(612) 671-3131

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

o            Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o            Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o            Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o            Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 



 

Item 8.01       Other Events.

 

On August 13, 2008, Ameriprise Financial, Inc. (the "Company") issued a news release announcing that Donald E. Froude will be joining the Company as President, U.S. Advisor Group. A copy of that news release is attached as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference and filed herewith.  Mr. Froude, who most recently served as the Managing Director/Head of U.S. Distribution for Legg Mason, Inc., plans to assume his duties at the Company on September 2, 2008.  

 

Mr. Froude succeeds Brian M. Heath as President, U.S. Advisor Group.  Mr. Heath's announcement that he was stepping down from that position effective February 29, 2008, was reported by the Company on a Current Report on Form 8-K dated October 31, 2007.

 

Item 9.01       Financial Statements and Exhibits.

 

(d)         Exhibits.

 

Exhibit No.

 

Description

 

 

 

Exhibit 99.1

 

Press Release dated August 13, 2008

 

2



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

 

AMERIPRISE FINANCIAL, INC.

 

 

(Registrant)

 

 

 

 

 

 

 

Date: August 13, 2008

By

/s/ Thomas R. Moore

 

 

Thomas R. Moore

 

 

Vice President, Chief

 

 

Governance Officer and

 

 

Corporate Secretary

 

3


EX-99.1 2 a08-21636_1ex99d1.htm EX-99.1

Exhibit 99.1

 

News Release

 

Ameriprise Financial Names Donald E. Froude

President of U.S. Advisor Group

 

MINNEAPOLIS — August 13, 2008 — Ameriprise Financial, Inc. (NYSE: AMP) today announced that Donald E. Froude will join the company as president of the U.S. Advisor Group. As a member of the company’s Executive Leadership Team, he will report to Chairman and CEO Jim Cracchiolo.

 

Mr. Froude will be responsible for leading the company’s approximately 12,000-strong employee and franchisee advisors, as well as their leaders in the field. In addition, Securities America, Inc., the company’s wholly owned independent broker dealer subsidiary, will report to Mr. Froude.

 

He will be charged with advancing strategies that have, over the past three years, significantly enhanced the company’s support for advisors, including industry-leading technology tools and marketing support. As a result of these efforts, franchisee advisor retention and satisfaction are at all-time highs.

 

“We are thrilled that Don Froude will lead our advisor force,” Mr. Cracchiolo said. “In his three decades in the industry, Don has amassed impressive and varied experience, from serving as an advisor himself to leading large firms and their distribution forces. I am confident that Don will be an instrumental leader as we execute our strategy to grow our advisor force and help advisors build their practices.”

 

Mr. Froude, a 28-year financial services veteran, joins the company from Legg Mason, Inc., where he was managing director and head of U.S. distribution. In this role, he was responsible for the management of sales, client service, product development and business development for the entire U.S. He served on Legg Mason’s Operating and Global Managed Investments Committees. Prior to joining Legg Mason, he was president of Intermediary Distribution for Columbia Management, a division of Bank of America, where he helped integrate two large mutual fund companies into one organization. Earlier, Mr. Froude was president and chief executive officer of Quick & Reilly, where he re-built the traditionally discount brokerage into a full-service investment business. He spent 10 years in progressively more senior roles at Alex Brown/Bankers Trust/Deutsche Bank and, earlier, nine years as a broker and office manager at Bache Halsey Stuart/Prudential.

 

“I am excited about the opportunity to lead one of the industry’s strongest distribution forces,” Mr. Froude said. “The Ameriprise advisors I’ve met are energized, and they’re deeply satisfied with the support the company provides them. With such a strong advisor foundation in place, I am confident that we can drive the U.S. advisor group to new levels of productivity and growth.”

 

Mr. Froude will join the company September 2. He will work at the company’s New York offices and its Minneapolis headquarters.

 

 

About Ameriprise Financial

 

Ameriprise Financial, Inc. is a diversified financial services company serving the comprehensive financial planning needs of the mass affluent and affluent.

 

For more information, visit ameriprise.com.

 

 

Ameriprise Financial

Media Relations:

Ben Pratt

612.678.5881

benjamin.j.pratt@ampf.com

 

1


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