Kenneth Kriebel

1. What are your firm names?

• Registered Investment Advisor

  Ameriprise Financial

• Broker Dealer

  Securities America

2. What is your type of RIA registration?

• SEC

3. Are you a sole practitioner or a member of a firm or team?

• Sole Practitioner

4. What is your relationship to your Registered Investment Advisor?

• Independent Contractor

5. What are your years of applicable financial service experience?

• 14 Years

6. Do you have any college degree(s)?

7. Do you belong to any industry associations?

• No

8. What is your CRD or IARD number?

• 2955901

9. Do you hold any active securities licenses?

• No Active Security Licenses

10. Which categories of financial services do you provide?

• Financial Planning Advice & Services
• Investment Advice & Services
• Insurance Advice & Services

11. Which planning services do you provide?

• Financial Plans
• Retirement Plans
• College Plans
• Estate Plans
• Charitable Plans
• Tax Plans

12. Which investment advisory services do you provide?

• Investment Strategy & Policy
• Rebalancing
• Tax Efficient Investing
• Asset Allocation
• Asset Allocation
• Performance Reports
• Money Manager Selection
• Performance Reports
• Risk Management

13. If you make investment decisions for clients, how do you invest their assets?

• Did Not Provide

14. How many clients (not accounts) do you currently service?

• Did Not Provide

15. What amount of client assets is currently under your management or advisement?

• Did Not Provide

16. What is your minimum fee for your planning services?

• Did Not Provide

17. What is your minimum fee for your investment services?

• Did Not Provide

18. What is your minimum asset requirement for your investment services?

• $50,000

19. What is your minimum net worth requirement for your planning services?

• Did Not Provide

20. What type of compensation do you receive for your planning services?

• Fixed Fees

21. What type of compensation do you receive for your investment advisory services?

• Fixed Fees
• Hourly Fees
• Asset Based Fees

22. Do you work with remote clients over the Internet and telephone?

• Yes

23. Do you hold any active insurance licenses?

• No Active Insurance Licenses

24. Are you a Registered Investment Advisor or an Investment Advisor Representative?

• Yes

25. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?

• Yes

26. What states are covered by your registration(s) to sell investment advisory services?

• Delaware
• New Jersey
• New York
• Pennsylvania
• Tennessee

27. What states are covered by your registration(s) to sell investment and brokerage products?

28. What states are covered by your registration(s) to sell insurance products?

29. Do you have any compliance disclosures for the past 5 years?

• Investment Disclosures: No
• Insurance Disclosures: No

30. Do you have any criminal disclosures since you became an adult?

• Misdemeanors: No
• Felonies: No

31. How do investors view your ADV Part II?

• Available Upon Request

32. What languages do you speak fluently?

• Did Not Provide

33. What is your primary role?

• Did Not Provide

34. Which investment products do you sell?

• Mutual Funds
• Hedge Funds
• Derivatives
• Commodities
• REITs
• Private Placements
• Other

35. Which insurance products do you sell?

• Life
• Fixed Annuities
• Variable Annuities
• Long Term Care
• Disability Income
• Business

36. Do you provide tax advice and services?

• No

37. Do you provide legal advice and services?

• Did Not Provide

38. Do you provide any limited engagement services?

• Planning Only (No investment services)
• Financial Plan Reviews

39. What types of clients do you work with?

• Individuals
• Companies (Pension)
• Foundations
• Public Funds
• Companies (Non-Pension)

40. Where does your first meeting with a prospective client take place?

• Investor's Preference

41. Which companies act as custodians for your clients assets?

• Other

42. What types of reports do you provide your clients and what is the frequency?

• Performance (Not Applicable)
• Brokerage Statement (Not Applicable)
• Market Environment (Not Applicable)
• Newsletters (Not Applicable)
• Other (Not Applicable)

43. General Comments:

Did Not Provide

Certification