Category: Ameriprise Financial Services

Broker’s Background   Lance Robert Lively (CRD #: 4848076) was registered with Ameriprise Financial Services, LLC. Lively’s past employers include Edward Jones.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in April 2026, Lance Robert Lively was “permitted […]

Vincent Thomas Ferrara Jr. (CRD#: 1791902) is a registered broker and investment advisor with Ameriprise Financial Services, LLC in Garden City, NY. Broker’s History He entered the securities industry in 1988 and previously worked with Sherwood Capital, Inc.; J.T. Morgan & Co., Inc.; The Prudential Insurance Company of America; Pruco Securities Corporation; Financial Horizons Securities […]

Michael Fisher (CRD: 4056114) is a registered broker and investment advisor with Ameriprise Financial Services, LLC., in Melville, NY.   Broker’s Background He entered the securities industry in 2000 and previously worked with Citigroup Global Markets Inc.; Merril Lynch, Pierce, Fenner & Smith Incorporated; UBS Financial Services, Inc.; and Wells Fargo Advisors, LLC.   Current […]

Ted Boutis (CRD#: 2951760) is a registered Broker and Investment Adviser at Ameriprise Financial Services, LLC in Mineola, NY. Broker’s Background He entered the securities industry in 1997 and previously worked for IDS Life Insurance Company. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial […]

Brent Makarczyk (CRD#: 4278893) is a registered Broker and Investment Advisor at Ameriprise Financial Services, LLC in Nanticoke, PA. Broker’s Background He entered the securities industry in 2001 and previously worked for IDS Life Insurance Company; and Pruco Securities Corporation. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records […]

Francis Velten (CRD#: 2291911) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1997 and previously worked for Ameriprise Financial Services, LLC; Independent Financial Group, LLC; Summit Brokerage Services, Inc.; Gunnallen Financial, Inc.; and A.G. Edwards & Sons, Inc. Current And Past Allegations Of Conduct Leading To Investment […]

Arthur Grossbard (CRD#: 1020971) is a dually registered Broker and Investment Advisor at Ameriprise Financial Services, LLC in West Orange, NJ. Broker’s Background He entered the securities industry in 1982 and previously worked for Royal Alliance Associates, Inc.; New Century Financial Group, LLC; Financial Network Investment Corporation; and Pennsylvania Securities Company. Current And Past Allegations […]

Jonathan Turner (CRD#: 4853469) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 2010 and previously worked for Ameriprise Financial Services, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]

Shawn Elizabeth Parker (CRD#: 1768234) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background She entered the securities industry in 1987 and previously worked for Ameriprise Financial Services, LLC; and IDS Life Insurance Company. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the […]

Ronald S. Bright (CRD#: 2702179) is a dually registered Broker and Investment Advisor at Ameriprise Financial Services, LLC in Portland, OR. Broker’s Background He entered the securities industry in 1997 and previously worked for Edward Jones and Olde Discount Corporation. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records […]