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2021 Responsible Business Report

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2021 Responsible Business Report Ameriprise Financial Responsible Business Report Spring 2021 Ameriprise Financial, Inc. Table of Contents A Message From Our Chairman and CEO .................................2 Environmental Steward .......................................................................... 25 Executive Summary.......................................................................................3 Community Impact......................................................................................27 Recognized as an Industry Leader ..................................................4 Appendix – Ameriprise and Our Global Reach .................. 30 Financial Strength and Stability ........................................................5 Appendix – Diversified Business Underpinned by a Strong Financial Foundation ................................................. 31 Values-Driven Firm ..........................................................................................6 Appendix – Diversified Business with Multiple Stakeholders ............................................................................. 32 Responsible Investor .................................................................................17 Appendix .............................................................................................................. 33 Governance ....................................................................................................... 22 1 Dear fellow stakeholders, 2020 was a year of significant and unforeseen Again in 2020, Ameriprise received top scores challenges that underscored the importance of for customer loyalty, customer service and sustainability. I’m proud to report that Ameriprise employee engagement. In addition, we were again navigated well in this extraordinary economic, included in the FTSE4Good Index Series and the market and social climate. We remain in a strong Bloomberg Gender Equality Index. position today because we care deeply about In this 2021 Responsible Business Report, what we do, and we’ve prepared ourselves to we discuss our sustainability approach under manage uncertainty and help our clients do five pillars: values-driven firm, responsible the same. investor, governance, environmental steward and We executed with a clear focus on serving our community impact. Importantly, we describe how clients, maintaining the health and safety of the we have kept the interests of all our stakeholders Ameriprise team, supporting our communities front-and-center during the pandemic, and we and generating strong business results. In highlight our efforts to advance diversity and fact, in a year of historic market volatility and inclusion, evolve our related disclosures and change, we earned record client satisfaction, assure our emission data. excellent employee engagement and achieved an In closing, the challenges in 2020 helped us important milestone of growing our assets under demonstrate the best of Ameriprise, which management and administration to more than we bring to life in this report. I hope you find it $1 trillion. informative. We are proud of our strong record The financial services industry is essential to of managing our business and are committed to advancing the global economy — supporting building on our legacy. business growth, creating liquidity for businesses Sincerely, large and small and enabling opportunity. Ameriprise plays an important role as a leading diversified firm. We provide important advice, support and solutions to keep people and institutions on track to achieve their goals through market cycles. James M. Cracchiolo Chairman and Chief Executive Officer JAMES M. CRACCHIOLO Data as of Dec. 31, 2020. 2 Executive Summary In this report, we summarize how Ameriprise manages our business responsibly to serve our clients and deliver long-term, sustainable value. Values-Driven Responsible Governance Environmental Community Steward Firm Investor From our tone at the Impact Ameriprise is Our financial top and culture of As a financial services We strive to improve a values-driven strength, steady compliance to the firm, Ameriprise is the communities firm. Our values investment and extensive corporate a low greenhouse where we live of client focus, robust enterprise governance gas (GHG) emitter. and work. integrity always, risk management framework of We incorporate Through strategic excellence in all program are independent responsible grantmaking, we do, and respect critical elements oversight of our environmental volunteerism and for individuals and of preserving Board of Directors, practices in the global gift matching, communities in and creating Ameriprise and our management of our Ameriprise supports which we live and sustainable, long- stakeholders are facilities and have a diverse group of work guide our term shareholder well served by our earned top ENERGY 8,000 nonprofits actions. Our culture value. We are strong governance STAR ratings for across the U.S., UK and our people are committed to the capabilities, the actions we’ve and other markets. central to our long- systems and implemented to prudent management Read more. term sustainability. principles that policies. improve energy efficiency. Read more. underpin our firm. Read more. Read more. Read more. We update this report annually. Data reported herein is as of Dec. 31, 2020. For more information or previous reports, visit ameriprise.com. 3 Recognized as an industry leader Clients rate Ameriprise Among the 4.9 out of 5 industry leaders in overall satisfaction and for employee engagement “always putting my interests first” Hearts & Wallets Award 94% say they now feel more Top PerformerTM designation in confident about retirement “understands me and shares my values” For the second consecutive year, Columbia Threadneedle ranked in the J.D. Power recognized Ameriprise Top 5 of the 2020 Barron's Fund Family rankings and had for providing "An Outstanding Customer Service 108 and Experience" for phone support for advisors Morningstar-rated funds See appendix for source and disclosure information. 4 Ameriprise stands tall as one of the strongest firms in the industry This enables us to stay focused on meeting Our financial strength the needs of our clients, advisors, employees, shareholders and other stakeholders. differentiates Ameriprise • Strong ratings and risk management • High-quality investment portfolio • Strong liquidity • Effective hedging program $1.1 trillion in assets • Conservative debt level, strong fixed under management and administration charge coverage • Strong RBC, excellent free cash flow generation of ~90% of adjusted operating earnings • Ability to invest for growth and return capital to shareholders at a differentiated rate Our financial strength underpins our commitments and allows us to continue to invest in the business across market cycles. As of Dec. 31, 2020. 5 VALUES-DRIVEN FIRM | RESPONSIBLE INVESTOR | GOVERNANCE | ENVIRONMENTAL STEWARD | COMMUNITY IMPACT Values-Driven Firm Perspectives from our People — Guided by our values responses from our employees and advisors in our annual From our business decisions to the training we conduct and the engagement survey leadership expectations we foster, our values guide our actions. “ Client first + longer-term thinking = sustainable high-integrity business.” Client focused Ameriprise is built on serving and satisfying clients; meeting their needs is our top priority. “ Ameriprise has a strong brand, strong commitment to the client Integrity always experience, and a focus on financial We strive to uphold the highest standards of integrity and stand behind what we say and do. planning. That is why we joined Ameriprise. I feel confident that Excellence in all we do as this industry continues to We provide world-class service and innovative products and solutions; we hold ourselves accountable for our actions and the company’s results. change, we are in good hands with Ameriprise.” Respect for individuals and for the communities in which we live and work We respect each other, value diversity and inclusion and work as a team to achieve our goals. Our people are key to our success. We develop our people, reward performance and strengthen our communities by supporting organizations that our employees and advisors support through their money and time. 6 VALUES-DRIVEN FIRM | RESPONSIBLE INVESTOR | GOVERNANCE | ENVIRONMENTAL STEWARD | COMMUNITY IMPACT Serving our clients’ best interests these documents describe our commitment to Leadership and Trust As a longstanding leader in financial planning and clients, the actions we take to safeguard their advice in the U.S., a global asset manager and an accounts, products available, the way our company and our advisors are compensated and how we insurer, understanding and meeting clients’ needs can help answer questions. Our advisors also is our top priority. Clients value the personalized explain how they manage their practices and the advice and informed perspective they receive pricing of various services they deliver. from Ameriprise — especially during periods of uncertainty and at important moments in In addition to our holistic and robust client their lives. relationship materials, clients receive timely notification of transaction confirmations, account Our clients, advisors and the firm benefit from statements and other communications. the ongoing investment we make in our client For the second consecutive year, experience supported by a strong compliance Ameriprise was recognized as foundation of appropriate
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