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STEPHEN ROSS SPEARS
CRD#: 1121283
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 10001 Reunion Pl Ste 422
San Antonio, TX 78216-4127
Registration History
1985199019952000200520102015202020252 FIRMS2024 - Present (<1 year)BFROST BROKERAGE SERVICES, INC. (CRD# 17465)1998 - 2024 (25 years)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1989 - 1991 (2 years)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1983 - 1989 (5 years)IAFROST INVESTMENT SERVICES (CRD# 286129)2018 - 2021 (3 years)
License(s)

State Registrations

B
Arizona 8/20/2024

B
Florida 7/22/2024

B
California 7/25/2024

B
Massachusetts 7/25/2024

B
Colorado 7/22/2024

B
Texas 7/10/2024

B
Delaware 7/25/2024

IA
Texas 7/10/2024

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)
10001 Reunion Pl Ste 422, San Antonio, TX 78216-4127
San Antonio, TX
Registered with this firm since 7/10/2024

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
10001 Reunion Pl Ste 422, San Antonio, TX 78216-4127
San Antonio, TX
Registered with this firm since 7/10/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
B
10/09/1998 - 07/10/2024 FROST BROKERAGE SERVICES, INC. (CRD#:17465) SAN ANTONIO, TX
IA
03/15/2018 - 12/31/2021 FROST INVESTMENT SERVICES (CRD#:286129) SAN ANTONIO, TX
B
03/06/1989 - 07/10/1991 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059) NEW YORK, NY
B
06/02/1983 - 03/16/1989 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471) NEW YORK, NY
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B
Broker
IA
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.