Category: Ameriprise Financial Services

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 […]

Jeffrey McHale (CRD # 2998580) is a Financial Advisor at Ameriprise Financial Services in Hingham, Massachusetts. Jeffrey McHale has been in the securities industry since 1998 and previously worked at Coburn & Meredith and Merrill Lynch. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Jeffrey McHale has been the subject […]

Joseph Peggs (CRD # 121971) is a Financial Advisor at Ameriprise Financial Services, Inc. in Seminole, FL.  Joseph Peggs has been in the securities industry since 1984 and previously worked at Planmember Securities Corporation, AXA Advisors, LLC, Woodbury Financial Services, Inc. Jefferson Pilot Securities Corporation, NFP Securities, Inc. and FFP Securities, Inc. According to publicly […]

Keith M. Kordich is a Financial Advisor at Ameriprise Fianncial Services, Inc. in Boca Raton, FL.  Keith Kordich has been in the securities industry since 1998 and previously worked at Ladenburg, Thalmann & Co. and Gruntal & Co., LLC in New York, and Ryan Beck and Co., Stifel, Nicolaus & Company, and Morgan Stanley in […]

The Wolper Law Firm, P.A. is currently investigating claims against Bruce Smith, a Financial Advisor at Ameriprise Financial Services in Bartlesville, Oklahoma.  Bruce Smith has been in the securities industry since 1992 and previously worked for IDS Life Insurance Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December […]