Individual Firm
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MARY ELAINE CLOYD
ELAINE CLOYD
CRD#: 1195702
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 1 N MAIN ST
STE 616
HUTCHINSON, KS 67501
STE 616
HUTCHINSON, KS 67501
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1/13/2010
Customer Dispute
Denied
State Registrations
B
Alabama 12/11/2009
B
Nebraska 12/8/2014
B
Arizona 12/3/2010
B
New Mexico 7/12/2013
B
Arkansas 7/12/2013
B
New York 3/4/2010
B
California 12/11/2009
B
North Carolina 2/2/2018
B
Colorado 12/11/2009
B
North Dakota 5/7/2021
B
Florida 12/11/2009
B
Oklahoma 12/11/2009
B
Illinois 12/11/2009
B
Oregon 11/13/2014
B
Indiana 8/14/2012
B
South Carolina 4/9/2021
B
Kansas 12/11/2009
B
Texas 12/11/2009
IA
Kansas 12/11/2009
IA
Texas 12/14/2009
B
Massachusetts 7/14/2021
B
Virginia 1/4/2013
B
Michigan 12/11/2009
B
Washington 1/8/2025
B
Missouri 12/11/2009
SRO Registrations
B
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IA
Registered with this firm since 12/11/2009
B
Registered with this firm since 12/11/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/01/2008 - 12/14/2009 | HUTCHINSON, KS | |
B | 01/01/2008 - 12/14/2009 | HUTCHINSON, KS | |
B | 04/18/1984 - 01/03/2008 | HUTCHINSON, KS | |
IA | 12/16/1997 - 01/01/2008 | HUTCHINSON, KS |
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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.