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Laurie Ann Ufnowski
LAURIE ANN OCKWOOD
CRD#: 1548386
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 300 N Corporate Dr Ste 100
Brookfield, WI 53045
Brookfield, WI 53045
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8/13/2021
Employment Separation After Allegations
6/24/2021
Financial
Final
4/21/2021
Financial
Final
1/29/2021
Financial
Final
9/9/2020
Financial
Final
State Registrations
B
Alabama 5/8/2023
B
North Carolina 5/9/2023
B
Arizona 5/25/2023
B
Pennsylvania 5/2/2023
B
California 5/2/2023
B
South Carolina 5/24/2023
B
Colorado 5/18/2023
B
Tennessee 5/5/2023
B
Florida 5/1/2023
IA
Texas 5/1/2023
B
Georgia 5/1/2023
B
Texas 5/8/2023
B
Illinois 5/4/2023
B
Utah 5/11/2023
B
Indiana 5/23/2023
B
Virginia 5/9/2023
B
Maine 5/1/2023
B
Wisconsin 9/21/2021
B
Nevada 5/23/2023
IA
Wisconsin 9/21/2021
B
New York 4/29/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 9/21/2021
B
Registered with this firm since 9/8/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/08/2021 - 09/09/2021 | MINNEAPOLIS, MN | |
IA | 06/23/2017 - 09/09/2021 | Waukesha, WI | |
B | 06/23/2017 - 09/09/2021 | Waukesha, WI | |
IA | 10/27/2003 - 07/05/2017 | BROOKFIELD, WI | |
B | 03/29/2000 - 07/05/2017 | BROOKFIELD, WI |
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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.