Individual Firm
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THOMAS MARTIN ROMANAC
CRD#: 1282585
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 11714 NE 62nd Ter
Ste 100
The Villages, FL 32162
Ste 100
The Villages, FL 32162
View By:
5/19/2009
Customer Dispute
Settled
State Registrations
B
Alabama 4/7/2022
B
Mississippi 4/7/2022
B
Alaska 4/7/2022
B
Missouri 4/7/2022
B
Arizona 4/7/2022
B
New Hampshire 4/7/2022
B
Arkansas 4/7/2022
B
New Jersey 4/7/2022
B
California 4/7/2022
B
New Mexico 4/7/2022
B
Colorado 4/7/2022
B
New York 4/7/2022
B
Connecticut 4/7/2022
B
North Carolina 4/7/2022
B
Delaware 4/7/2022
B
North Dakota 4/7/2022
B
District of Columbia 6/20/2013
B
Ohio 4/7/2022
B
Florida 12/24/1986
B
Oklahoma 9/1/2021
IA
Florida 4/3/1987
B
Oregon 4/7/2022
B
Georgia 4/7/2022
B
Pennsylvania 4/7/2022
B
Idaho 4/7/2022
B
Rhode Island 4/7/2022
B
Illinois 4/7/2022
B
South Carolina 4/7/2022
B
Indiana 4/7/2022
B
Tennessee 4/7/2022
B
Iowa 4/7/2022
B
Texas 4/7/2022
B
Kansas 4/7/2022
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Texas 4/7/2022
B
Kentucky 4/7/2022
B
Utah 4/7/2022
B
Maine 4/7/2022
B
Vermont 4/7/2022
B
Maryland 4/15/2011
B
Virginia 4/7/2022
B
Massachusetts 4/7/2022
B
Washington 4/7/2022
B
Michigan 3/24/2015
B
West Virginia 4/7/2022
B
Minnesota 4/7/2022
B
Wisconsin 4/7/2022
SRO Registrations
B
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IA
Registered with this firm since 4/3/1987
B
Registered with this firm since 11/26/1984
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/23/2002 - 07/03/2006 | MINNEAPOLIS, MN | |
B | 08/25/1986 - 12/24/1986 | ||
B | 11/26/1984 - 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.