MA/A 0000049709 XXXXXXXX Jacob Bongard 612-671-0527 jacob.x.bongard@ampf.com jacob.x.bongard@ampf.com AMERIPRISE FINANCIAL SERVICES, INC. 000006363 41-0973005 866-01168-00 867-01097 008-16791 000006363 801-28543 000006363 000006363 AL AK AZ AR CA CO CT DE DC FL GA HI ID IL IN IA KS KY LA ME MD MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK PA PR RI SC SD TN TX UT VT VI VA WA WV WI National Futures Association 0196794 707 2ND AVENUE SOUTH MINNEAPOLIS MN 55402 612-671-3131 612-671-4929 Add 817 Broadway St Alexandria MN 56308-1856 320-762-8141 Add 776 Business Highway 71N Suite 4 Willmar MN 56201-4982 320-235-5600 320-262-5261 Add 320 E Howard St Hibbing MN 55746-1746 218-262-5207 218-262-3408 Add 250 State St Unit E1 North Haven CT 06473-2182 203-407-8188 203-287-0414 Add 33 Arch St Suite 2102 Boston MA 02110-1442 781-556-0068 781-556-0021 Y 5227 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 http://www.ameriprise.com Douglas J Parish

2076 Ameriprise Financial Center MINNEAPOLIS MN 55474

612-671-0947 612-284-7928 Douglas.j.Parish@ampf.com JACOB ALAN BONGARD

50611 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474

612-671-0527 612-671-4929 JACOB.X.BONGARD@AMPF.COM Add IRON MOUNTAIN RECORDS MANAGEMENT 920 APOLLO ROAD EAGAN MN 55121-2203 651-452-6515 IRON MOUNTAIN STORES CERTAIN BOOKS AND RECORDS OF REGISTRANT, INCLUDING SOME ELECTRONIC INFORMATION. Add AMERICAN ENTERPRISE INVESTMENT SERVICES INC. 707 2ND AVENUE SOUTH MINNEAPOLIS MN 55402 612-671-3662 AEIS RETAINS CERTAIN RECORDS FOR REGISTRANT RELATED TO THE CLEARING SERVICES IT PROVIDES FOR THE APPLICANT. Add IBM 1001 THIRD AVENUE SOUTH MINNEAPOLIS MN 55402 919-341-801 IBM MAINTAINS CERTAIN BOOKS AND RECORDS OF REGISTRANT, INCLUDING ELECTRONIC COMMUNICATIONS. Add COMPUTER SCIENCES CORPORATION 3170 Fairview Park Drive Falls Church VA 22042 941-545-7460 COMPUTER SCIENCES CORPORATION MAINTAINS CERTAIN BOOKS AND RECORDS OF REGISTRANT, INCLUDING ELECTRONIC COMMUNICATIONS. Add SYMANTEC 20330 STEVENS CREEK BOULEVARD CUPERTINO CA 95014-2268 952-223-4692 SYMANTEC MAINTAINS CERTAIN BOOKS AND RECORDS OF REGISTRANT, INCLUDING ELECTRONIC COMMUNICATIONS. December DE 06-14-1971 N 13922 27 27 27 0 35 Municipal Entities Non-profit organizations 0 0 0 Local government investment pools State government investment pools Hospitals Colleges Other investment clubs Fixed Fees Not Applicable Advice Investment Of Proceeds MS Advice ME Other Investments Y Y Y Y Y Y Y APPLICANT PARTICIPATES IN THE SALE OF FACE-AMOUNT CERTIFICATES AND UNIT INVESTMENT TRUSTS. BROKER OR DEALER IN AGENCY SECURITIES. INVESTMENT RESEARCH PREPARATION AND DISTRIBUTION N Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Commodity pool operator Banking/Thrift institution Trust Company Insurance company or agency 19 Add Investment Adviser Commodity pool operator COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC N Y Y Other - AUSTRALIAN SECURITIES & INVESTMENTS COMMISSION (NOTICE FILING PURSUANT TO ASIC CLASS ORDER CO 03/1100 C3 Other - CANADIAN EXEMPTION: ALBERTA, BRITISH COLUMBIA, MANITOBA, NEW BRUNSWICK, NEWFOUNDLAND, NOVA SCOTIA, ONTARIO, QUEBEC, SASKATCHEWAN NRD # 24240 Z4 Other - SECURITIES AND EXCHANGE BOARD OF INDIA INUSFA127706 K7 Other - SINGAPORE MONETARY AUTHORITY (APPROVAL OF PARAGRAPH 9 ARRANGEMENT UNDER SFA 289) U0 Other - THE NETHERLANDS AUTHORITY FOR THE FINANCIAL MARKETS (NOTICE FILING REGARDING SECTION 10 EXEMPTED COMPANY P7 Financial Supervisory Commission/Financial Supervisory Service M4 Add Investment Adviser Commodity pool operator THREADNEEDLE INTERNATIONAL LTD. THREADNEEDLE INVESTMENTS N Y Y Australia - Australian Securities and Investments Commission C3 United Kingdom - Financial Conduct Authority X0 Other - CANADIAN EXEMPTION: ALBERTA, BRITISH COLUMBIA, MANITOBA, NEW BRUNSWICK, NEWFOUNDLAND, NOVA SCOTIA, ONTARIO, QUEBEC, SASKATCHEWAN Z4 Add Broker-dealer municipal securities dealer or government securities broker or dealer AMERICAN ENTERPRISE INVESTMENT SERVICES INC. AMERICAN ENTERPRISE INVESTMENT SERVICES INC. N Y N Add Investment Adviser Commodity pool operator THREADNEEDLE ASSET MANAGEMENT LIMITED THREADNEEDLE ASSET MANAGEMENT LIMITED N Y Y Financial Conduct Authority X0 SINGAPORE MONETARY AUTHORITY (APPROVAL OF PARAGRAPH 9 ARRANGEMENT UNDER SFA 289) U0 Add Broker-dealer municipal securities dealer or government securities broker or dealer RIVERSOURCE DISTRIBUTORS, INC. RIVERSOURCE DISTRIBUTORS, INC. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. N Y Y Alberta Securities Commission NRD # 36650 Z4 British Columbia Securities Commission NRD # 36650 Z4 Manitoba Securities Commission NRD # 36650 Z4 New Brunswick Securities Commission NRD # 36650 Z4 Newfoundland and Labrador, Financial Services Regulation Division NRD # 36650 Z4 Nova Scotia Securities Commission NRD # 36650 Z4 Ontario Securities Commission NRD # 36650 Z4 Quebec, Financial Markets Authority NRD # 36650 Z4 Saskatchewan Financial Services Commission NRD # 36650 Z4 Government of Guam, Department of Revenue and Taxation, Office of the Administrator of Securities 10049 2J Australian Securities & Investments Commission (notice filing pursuant to class order CO 03/1100) C3 Add Investment Adviser COLUMBIA WANGER ASSET MANAGEMENT, LLC COLUMBIA WANGER ASSET MANAGEMENT, LLC N Y N Add Commodity pool operator ADVISORY CAPITAL STRATEGIES GROUP, INC. ADVISORY CAPITAL STRATEGIES GROUP, INC. N Y N Add Insurance company or agency AMERIPRISE AUTO & HOME INSURANCE AGENCY, INC. AMERIPRISE AUTO & HOME INSURANCE AGENCY, INC. N Y N Add Banking/Thrift institution AMERIPRISE NATIONAL TRUST BANK AMERIPRISE NATIONAL TRUST BANK N Y N Add Insurance company or agency AMERIPRISE CAPTIVE INSURANCE COMPANY AMERIPRISE CAPTIVE INSURANCE COMPANY N Y N Add Insurance company or agency AMERIPRISE INSURANCE COMPANY AMERIPRISE INSURANCE COMPANY N Y N Add Trust Company AMERIPRISE TRUST COMPANY AMERIPRISE TRUST COMPANY N Y N Add Insurance company or agency IDS PROPERTY CASUALTY COMPANY IDS PROPERTY CASUALTY COMPANY N Y N Add Insurance company or agency RIVERSOURCE LIFE INSURANCE CO. OF NEW YORK RIVERSOURCE LIFE INSURANCE CO. OF NEW YORK N Y N Add Insurance company or agency RIVERSOURCE LIFE INSURANCE COMPANY RIVERSOURCE LIFE INSURANCE COMPANY N Y N Add Investment Adviser THREADNEEDLE INVESTMENTS SINGAPORE (PTE) LIMITED THREADNEEDLE INVESTMENTS SINGAPORE (PTE) LIMITED N Y Y Monetary Authority of Singapore U0 Add Investment Adviser THREADNEEDLE MANAGEMENT LUXEMBOURG S.A. THREADNEEDLE MANAGEMENT LUXEMBOURG S.A. N Y Y Commission to Surveillance of the Finance Sector N4 Add Broker-dealer municipal securities dealer or government securities broker or dealer THREADNEEDLE PORTFOLIO SERVICES HONG KONG LIMITED THREADNEEDLE PORTFOLIO SERVICES HONG KONG LIMITED N Y Y Securities and Futures Commission K3 Y Y N Y Y Y Y Y Y Y Y Y Y Y N AMERIPRISE FINANCIAL INC 0000820027 Schedule B Supplemental information for items 4F and 4G: Data is as of the date of this filing. Supplemental information for Schedule D1-I: Applicant also maintains certain books and records at the following third-party unaffiliated recordkeeper locations (1) Cenveo, 201 Broad Street, Stamford, CT 06901-2004, 612-460-2300, and (2) Sungard Financial Systems LLC, 340 Madison Ave, 8th Floor, New York, NY 10005, 646-445-8173. Supplemental information for item 6B: (1) For associated persons who require Form MA-I, in some instances an address may only include a P.O. Box as a street address was not available; (2) the following entities are associated persons who are a sponsor, general partner, managing member (or equivalent) of pooled investment vehicles: Seligman Partners LLC and Columbia Research Partners LLC. Supplemental information for 9: The following individuals or entities are either no longer registered with the SEC, or have a CRD number, and may no longer associated with Applicant: American Express Service Corporation (10518); RiverSource Life Insurance Company (139135); IDS Life Insurance Company (6321); Ameriprise Financial, Inc. (fka American Express Financial Corporation) (6320); J. and W. Seligman and Co., Incorporated (104718)(legal entity name contains ampersands which are not accepted by EDGAR); Robert Van Yeager (4023419); Larry Martin Post (1078946). Supplemental information for Schedule A-2, Direct Owners and Executive Officers: A technical issue in the EDGAR system removed all the information contained in Schedule A-2. Per the SEC's direction, Ameriprise Financial Services., Inc. has resubmitted this information as Additions via Schedule C as a part of its March 30, 2015 annual update. The individuals listed were included in AFSI's initial filing of form MA and there were no changes through March 30, 2015. On April 1, 2015, Donald Froude was replaced by Joseph Sweeney as Chairman, President and CEO. This same technical issue delayed the filing of AFSI's amendment reflecting this change to Schedule A until April 17, 2015. A similar technical issue removed this information and prevented acceptance of a January 4, 2016 amendment. This information was repopulated, unchanged, in a 1/25/2016 amendment. Supplemental information for Schedule A-1, Direct Owners of Applicant - Business Entities: A technical issue in the EDGAR system removed all the information contained in Schedule A-1. Per the SEC's direction, Ameriprise Financial Services., Inc. has resubmitted this information as Additions via Schedule C as a part of an October 2, 2015 amendment. The AMPF Holding Company listed was included in AFSI's initial filing of form MA and there were no changes through October 2, 2015. In a July 2016 filing, AFSI amended to include the AMPF Holding Company as an indirect owner in Schedule B-1 via Schedule C, which appears to have dropped off due to the same technical error. N N N N Y Y N Y Y Y Y N Y Y Y Y N N N Y N N Y N N Y AMPF Holding Company N 38-2722519 Shareholder 10-01-2009 E Y John Carl Junek Executive Vice President and General Counsel 11-23-2011 NA Y 004251921 Mitchell David Doren Region Vice President (Texas designated officer) 02-08-2016 NA Y 002129844 Charles Neal Maglaque Director, Executive Vice President and Chief Compliance OFficer 04-29-2015 NA Y 005026063 David Kent Stewart Chief Financial Officer 12-02-2007 NA Y 002990869 Joseph Edward Sweeney President, Chairman, and Chief Executive Officer 04-01-2015 NA Y 004668713 William Jeryll Williams Executive Vice President - Ameriprise Franchise Group | The Personal Advisor Group 03-15-2016 NA Y 001954117 Patrick Hugh O'Connell Executive Vice President - Ameriprise Advisor Group 03-15-2016 NA Y 002246285 Douglas J Parish Senior Vice President & Chief Compliance Officer 04-11-2016 NA Y 005044900 Add AMPF Holding Company N 38-2722519 Shareholder 10-01-2009 E Y Add John Carl Junek Executive Vice President and General Counsel 11-23-2011 NA Y 004251921 Amend Mitchell David Doren Region Vice President (Texas designated officer) 02-08-2016 NA Y 002129844 Amend Charles Neal Maglaque Director, Executive Vice President and Chief Compliance OFficer 04-29-2015 NA Y 005026063 Add David Kent Stewart Chief Financial Officer 12-02-2007 NA Y 002990869 Add Joseph Edward Sweeney President, Chairman, and Chief Executive Officer 04-01-2015 NA Y 004668713 Add William Jeryll Williams Executive Vice President - Ameriprise Franchise Group | The Personal Advisor Group 03-15-2016 NA Y 001954117 Add Patrick Hugh O'Connell Executive Vice President - Ameriprise Advisor Group 03-15-2016 NA Y 002246285 Add Douglas J Parish Senior Vice President & Chief Compliance Officer 04-11-2016 NA Y 005044900 Add Ameriprise Holding Corporation Ameriprise Financial, Inc. 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N 000026506 AMERICAN ENTERPRISE INVESTMENT SERVICES INC. 000026506 763634 9-D2 9-D4 Ameriprise Financial Services, Inc. 000006363 1742032 1 9-D4 RiverSource Life Insurance Company N Ameriprise Financial Services, Inc. 000006363 1796726 9-E2 Ameriprise Financial Services, Inc. 000006363 1851562 1 9-D1 9-D2 Threadneedle Asset Management Limited N Ameriprise Financial Services, Inc. 000006363 1862326 9-D2 9-D4 Ameriprise Financial Services, Inc. 000006363 1869373 9-G Ameriprise Financial Services, Inc. 000006363 1869373 9-G Ameriprise Financial Services, Inc. 000006363 129376 9-D4 Ameriprise Financial Services, Inc. 000006363 1880943 9-E2 Ameriprise Financial Services, Inc. 000006363 1887917 9-D2 9-D4 Ameriprise Financial Services, Inc. 000006363 1887695 1 9-H1c COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC Y 801-25943 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC 000108257 29468 Doug J. Parish Doug J. Parish SVP & Chief Compliance Officer 07-21-2016 005044900 N N N N N Y N Y Y N Y N N N N N N Y Y N N