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THOMAS CHARLES DOTZENROD
TOM DOTZENROD
CRD#: 1143664
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 8500 Normandale Lake Blvd
Ste 1070
Bloomington, MN 55437
Ste 1070
Bloomington, MN 55437
0
Disclosures
37
Years of Experience
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State Registrations
B
Minnesota 10/22/2010
IA
Minnesota 12/5/2013
SRO Registrations
B
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IA
Registered with this firm since 12/5/2013
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Registered with this firm since 10/22/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/06/2004 - 10/29/2010 | EDINA, MN | |
B | 07/03/2001 - 12/31/2003 | OVERLAND PARK, KS | |
B | 03/31/1999 - 06/27/2001 | BOSTON, MA | |
B | 07/08/1991 - 03/31/1999 | IRVINE, CA | |
B | 12/26/1986 - 08/01/1990 | MIAMI, FL | |
B | 06/21/1983 - 11/14/1983 |
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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.