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Detailed Report
MARK DOUGLAS KALISH
CRD#: 1175525
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 25 MAIN ST
STE 3-2
GOSHEN, NY 10924-2144
Registration History
198519901995200020052010201520202025IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2006 - Present (18 years)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)1992 - Present (32 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)1992 - 2006 (13 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1983 - 1988 (5 years)
Disclosure(s)
View By:
10/27/2006
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 5/18/2021
B
New York 12/11/1992
B
California 7/18/2000
IA
New York 4/16/2021
B
Connecticut 10/6/2005
B
North Carolina 6/22/2001
B
Florida 8/18/2000
B
Pennsylvania 9/22/2005
IA
Florida 2/7/2024
B
South Carolina 8/11/2003
B
Georgia 9/17/2003
B
Tennessee 8/14/2018
B
Maryland 8/23/2004
B
Texas 10/14/2002
B
Massachusetts 8/10/2023
IA
Texas 10/3/2006
B
Nevada 5/13/2024
B
Vermont 4/22/2022
B
New Jersey 11/17/1998

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
25 MAIN ST STE 3-2, GOSHEN, NY 10924-2144
Port St Lucie, FL
Registered with this firm since 10/3/2006
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
25 MAIN ST STE 3-2, GOSHEN, NY 10924-2144
Port St Lucie, FL
Registered with this firm since 12/10/1992
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 12/10/1992 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
B
 08/24/1983 - 09/24/1988 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
For additional information about investment advisers or broker-dealers, please visit
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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
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.