Direct Stock Purchase Program

Direct Stock Purchase Program

Ameriprise Financial makes available to its registered shareholders and interested first time investors a direct purchase and sale and dividend reinvestment plan for shares of our common stock. The plan is called the Broadridge Direct Stock Purchase Plan or DSP, and it is sponsored and administered solely by our stock transfer agent Broadridge Corporate Issuer Solutions, Inc. DSP offers a convenient and cost effective way to buy and sell shares of our common stock. Plan participants are responsible for enrollment and transaction fees and costs.

If you are not a registered holder of our common stock, you must make a minimum initial investment of $1,000. After you make this initial investment, you can make additional investments in amounts as low as $50. If you are already a registered holder, the minimum investment amount is $50. The limit on the amount you can invest in any one year is $120,000.

DSP allows participants to:

  • Buy shares of our common stock directly through Broadridge, as the administrator of the plan.
  • Choose to purchase additional shares of our common stock through dividend reinvestment or receive dividends by check or direct deposit to your bank account.
  • Hold your shares in book-entry form at our transfer agent, eliminating the risk of lost or stolen certificates. You can still request physical certificates at any time.
  • Deposit your Ameriprise stock certificates directly into your plan account. You can withdraw or transfer all or a portion of your shares at any time.
  • Sell all or a portion of your Ameriprise Financial shares of common stock held in your plan account without having to request the issuance of a stock certificate.

Participation in the plan is voluntary, and may not be suitable for you. You can decide to withdraw from the plan at any time. You should talk with your financial advisor before enrolling in the plan and deciding how much to invest.

As with any common stock, Ameriprise Financial shares are not insured by the Federal Deposit Insurance Corporation and are not guaranteed by Broadridge or Ameriprise Financial. Shares of common stock are subject to investment risk, including the loss of the amount you invest. Shares held in DSP are not protected under the Securities Investor Protection Act of 1970.

The DSP brochure and enrollment form provide important additional information and disclosures about DSP, including a schedule of the current fees and costs paid by participants and the terms and conditions that govern the plan. Please read these documents carefully before you decide to participate in the plan.

To receive a Direct Stock Purchase enrollment kit, including a plan brochure and enrollment form, or to ask questions about the plan, please contact Broadridge using one of the following options:


Telephone:
1 (866) 337-4999
(U.S. and Canada only)
1 (303) 974-3777
(International)

Email:
shareholder@
broadridge.com


Website:
www.shareholder.broadridge.com/
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Mail:
Broadridge Corporate Issuer Solutions, Inc.
P.O. Box 1342
Brentwood, NY 11717

Overnight delivery:
Broadridge Corporate Issuer Solutions, Inc.
1155 Long Island Ave.
Edgewood, NY 11717