Category: Ameriprise Financial Services

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 […]

Murray Petersen (CRD#: 1311730), also known as Todd Petersen, is a previously registered Broker and previously registered Investment Advisor.   Broker’s Background   He entered the securities industry in 1984 and previously worked for Ameriprise Financial Services, LLC; SCF Securities, Inc.; WFG Investments, Inc.; Commonwealth Financial Network; and Financial Network Investment Corporation.   Current And […]

Kevin Houser (CRD#: 2513167) was an Investment Advisor at Ameriprise Financial Services, LLC in Center Valley, PA. He entered the securities industry in 1994 and previously worked for LPL Financial, LLC; Wachovia Securities, LLC; Citigroup Global Markets, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. According to publicly available records released by the Financial […]

Angel Bardeche (CRD#: 4698117) is a former broker and investment adviser who was employed by Ameriprise Financial Services, Inc. from 2012-2019. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA) on January 6, 2021, Angel Bardeche received a civil penalty of $10,000, disgorgement of $5,000, and a 9-month suspension beginning January […]

Sean Refsnider (CRD # 4762963) was a Financial Advisor at Ameriprise Financial Services, Inc. in Haddon Hgts, NJ. Sean Refsnider has been in the securities industry since 2004 and was also registered at Ameriprise Financial Services, Inc in Voorhees, NJ and IDS Life Insurance Company in Minneapolis, MN. According to publicly available records released by […]

Arthur Hoffman (CRD # 3193754) was a Financial Advisor at Ameriprise Financial Services, LLC in Glenndale, AZ. Arthur Hoffman has been in the securities industry since 1999 and previously worked at Wedbush Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Morgan Stanley DW Inc. According to publicly available records released by the Financial […]

Bryant Caveness (CRD # 4033740) was a Financial Advisor at Ameriprise Financial Services in Kingsport, TN. Bryant Caveness has been in the securities industry since 1999 and previously worked at Ameriprise Advisor Services and Morgan Stanley. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 22, 2020, FINRA sanctioned […]