Individual Firm
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TIMOTHY HOUSTON BROWN Sr
TIM H BROWN SR, TIM H BROWN, TIM HOUSTON BROWN SR, TIM HOUSTON BROWN, TIM BROWN SR…
CRD#: 1018810
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 3000 Fairfield Ave
Shreveport, LA 71104
Shreveport, LA 71104
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10/22/2014
Customer Dispute
Denied
8/10/2011
Customer Dispute
Denied
7/6/2009
Customer Dispute
Denied
7/11/2007
Customer Dispute
Settled
State Registrations
B
Alabama 10/25/2024
IA
Louisiana 10/25/2024
B
Arizona 10/25/2024
B
Mississippi 10/25/2024
B
Arkansas 10/25/2024
B
New Mexico 10/25/2024
B
California 10/25/2024
B
New York 10/25/2024
B
Colorado 10/25/2024
B
North Carolina 10/25/2024
B
Florida 10/25/2024
B
Oklahoma 10/30/2024
B
Georgia 10/28/2024
B
Texas 10/25/2024
B
Illinois 11/8/2024
IA
Texas 10/25/2024
B
Louisiana 10/25/2024
B
Washington 10/25/2024
SRO Registrations
B
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IA
Registered with this firm since 10/25/2024
B
Registered with this firm since 10/25/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/15/2010 - 10/30/2024 | SHREVEPORT, LA | |
B | 01/01/2008 - 10/30/2024 | SHREVEPORT, LA | |
B | 11/27/1981 - 01/03/2008 | SHREVEPORT, LA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.