Data Breach Notifications

Entity Information

  • Type of Organization: Financial Services
  • Entity Name: Ameriprise Financial, Inc.
  • Street Address: 707 2nd Ave S
  • City: Minneapolis
  • State, or Country if outside the US: MINNESOTA
  • Zip Code: 55474

Submitted By

  • Name: Robert Severson
  • Title: Manager-Electronic Crime Investigations
  • Firm name (if different than entity): Ameriprise Financial, Inc.
  • Telephone Number: 6126712047
  • Email Address: bob.severson@ampf.com
  • Relationship to entity whose information was compromised: Current employee

Breach Information

  • Total number of persons affected (including residents): 104
  • Total number of Maine residents affected: 1
  • If the number of Maine residents exceeds 1,000, have the consumer reporting agencies been notified:
  • Date(s) Breach Occured: 3/19-11/20
  • Date Breach Discovered: 11/23/2020
  • Description of the Breach:
    • Other
    • If other, please specify: A financial advisor sold the building where his financial advisory practice resided to a new owner. The building was unoccupied, but secured, for a period of time. On November 23, 2020, the new owner of the building notified the advisor that a file cabinet had been left behind when he vacated the premises. The owner returned the files to the advisor.
  • Information Acquired - Name or other personal identifier in combination with: Social Security Number

Notification and Protection Services

  • Type of Notification: Written
  • Date(s) of consumer notification: 1/11/2021
  • Copy of notice to affected Maine residents: Client Notification Letter.docx
  • Date of any previous (within 12 months) breach notifications:
  • Were identity theft protection services offered: Yes
  • If yes, please provide the duration, the provider of the service and a brief description of the service: 1 Year; EZ Shield