Individual Firm
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JILL DIANE WILLIAMS-GILMORE
JILL DIANA WILLIAMS, JILL DIANE WILLIAMS
CRD#: 1252250
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 4314 REDWOOD HWY
STE 400
SAN RAFAEL, CA 94903
STE 400
SAN RAFAEL, CA 94903
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3/15/2010
Customer Dispute
Denied
10/6/2008
Customer Dispute
Denied
10/1/2008
Customer Dispute
Denied
State Registrations
B
Arizona 1/15/2004
B
New Hampshire 2/19/2020
B
Arkansas 8/29/2008
B
New Jersey 5/8/2020
B
California 12/24/1986
B
New York 1/30/2012
IA
California 12/15/1997
B
North Carolina 8/2/2016
B
Colorado 4/12/1999
B
Ohio 3/13/2009
B
Florida 2/2/2023
B
Oregon 4/16/2003
B
Georgia 6/10/2008
B
Pennsylvania 2/2/2023
B
Hawaii 2/2/2004
B
South Carolina 5/26/2011
B
Idaho 1/23/2012
B
Tennessee 2/2/2023
B
Illinois 3/31/1999
B
Texas 12/6/2021
B
Maine 8/17/2010
IA
Texas 12/6/2021
B
Maryland 2/5/2024
B
Utah 6/18/2021
B
Michigan 5/21/2013
B
Vermont 2/22/2023
B
Minnesota 2/2/2023
B
Virginia 1/5/2015
B
Montana 2/20/2014
B
Washington 7/8/2002
B
Nevada 2/3/2000
SRO Registrations
B
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IA
Registered with this firm since 12/15/1997
B
Registered with this firm since 4/3/1984
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/11/2003 - 07/03/2006 | MINNEAPOLIS, MN | |
B | 02/01/2000 - 05/04/2000 | MINNEAPOLIS, MN | |
B | 04/03/1984 - 12/24/1986 |
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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.