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YVONNE H BASS
YVONNE HARRIS BASS, YVONNE HARRIS CONWAY
CRD#: 1070654
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 6 Montgomery Village Ave
Ste 640
Gaithersburg, MD 20879
Registration History
200020022004200620082010201220142016201820202022202420263 FIRMS1999 - 2004 (4 years)2 FIRMS2004 - 2007 (2 years)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2015 - 2015 (<1 year)IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2023 - Present (2 years)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2022 - Present (2 years)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2016 - 2022 (5 years)BMML INVESTORS SERVICES, LLC (CRD# 10409)2010 - 2014 (4 years)IAMML INVESTORS SERVICES, LLC (CRD# 10409)2011 - 2014 (3 years)IAMML INVESTORS SERVICES, INC. (CRD# 10409)2010 - 2010 (<1 year)
Disclosure(s)
View By:
6/14/2018
Judgment / Lien
8/1/2016
Judgment / Lien
7/16/2015
Financial
Final
License(s)

State Registrations

B
District of Columbia 2/14/2023

IA
Maryland 1/26/2023

B
Florida 3/28/2024

B
New York 2/9/2023

B
Maryland 10/19/2022

B
Virginia 3/29/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
6 Montgomery Village Ave Ste 640, Gaithersburg, MD 20879
North Bethesda, MD
Registered with this firm since 1/26/2023

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
6 Montgomery Village Ave Ste 640, Gaithersburg, MD 20879
North Bethesda, MD
Registered with this firm since 10/7/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
B
12/12/2016 - 05/02/2022 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Bethesda, MD
IA
09/15/2015 - 10/15/2015 M&T SECURITIES, INC. (CRD#:17358) WASHINGTON, DC
B
09/15/2015 - 10/15/2015 M&T SECURITIES, INC. (CRD#:17358) WASHINGTON, DC
IA
06/21/2011 - 09/29/2014 MML INVESTORS SERVICES, LLC (CRD#:10409) ROCKVILLE, MD
B
07/01/2010 - 09/29/2014 MML INVESTORS SERVICES, LLC (CRD#:10409) ROCKVILLE, MD
IA
07/06/2010 - 12/31/2010 MML INVESTORS SERVICES, INC. (CRD#:10409) ROCKVILLE, MD
IA
06/01/2009 - 07/13/2009 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) NEW HAVEN, CT
B
06/01/2009 - 07/13/2009 MORGAN STANLEY SMITH BARNEY (CRD#:149777) NEW HAVEN, CT
IA
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NEW HAVEN, CT
B
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NEW HAVEN, CT
IA
07/09/2004 - 04/02/2007 MORGAN STANLEY (CRD#:7556) NEW HAVEN, CT
B
07/09/2004 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) NEW HAVEN, CT
IA
11/01/1999 - 07/01/2004 AMERICAN EXPRESS FINANCIAL ADVISORS, INC. (CRD#:6363) NORWALK, CT
B
08/26/1999 - 07/01/2004 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
08/26/1999 - 07/01/2004 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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B
Broker
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Investment Adviser
Disclosures
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.