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Detailed Report
PETER ARNOLD HOCKENMAIER
CRD#: 1230008
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 1200 Paseo Camarillo
Ste 265
Camarillo, CA 93010
Registration History
198519901995200020052010201520202025IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)1997 - Present (27 years)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)1984 - Present (41 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)1984 - 2006 (22 years)BIDS SECURITIES CORP. (CRD# 11176)1986 - 1986 (<1 year)BIDS FINANCIAL SERVICES INC. (CRD# 6320)1984 - 1986 (2 years)
Disclosure(s)
View By:
6/25/2013
Customer Dispute
Denied
License(s)

State Registrations

B
Alaska 5/25/2011
B
Nevada 2/5/1996
B
Arizona 2/6/1989
B
New Hampshire 1/18/2019
B
Arkansas 6/5/2003
B
New Jersey 9/22/2021
B
California 12/24/1986
B
New Mexico 5/21/2024
IA
California 12/15/1997
B
New York 6/13/2014
B
Colorado 9/30/1994
B
North Carolina 6/13/2001
B
District of Columbia 1/6/2023
B
Oklahoma 2/5/1999
B
Florida 6/21/2012
B
Oregon 7/21/1993
B
Georgia 1/9/1998
B
Pennsylvania 3/2/2011
B
Hawaii 6/4/2001
B
South Carolina 9/27/2019
B
Idaho 6/22/1999
B
South Dakota 4/3/2015
B
Iowa 7/12/2024
B
Tennessee 7/9/2020
B
Maryland 2/24/2004
B
Texas 2/24/2005
B
Michigan 7/28/2005
IA
Texas 10/3/2006
B
Minnesota 4/1/1999
B
Utah 11/7/1997
B
Missouri 1/8/2025
B
Virginia 6/13/2006
B
Montana 3/29/2023
B
Washington 1/6/1997
B
Nebraska 1/6/2021
B
Wisconsin 2/8/1996

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)
1200 Paseo Camarillo Ste 265, Camarillo, CA 93010
Ventura, CA
Registered with this firm since 12/15/1997
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
1200 Paseo Camarillo Ste 265, Camarillo, CA 93010
Ventura, CA
Registered with this firm since 2/14/1984
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/14/1984 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
B
 07/14/1986 - 12/24/1986 IDS SECURITIES CORP. (CRD#:11176)
B
 02/14/1984 - 12/24/1986 IDS FINANCIAL SERVICES INC. (CRD#:6320)
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.