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CAROL JEAN HARPER
CAROL JEAN SEBASTIAN
CRD#: 1716407
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 5960 Berkshire Ln Ste 1200
DALLAS, TX 75225
Registration History
199019952000200520102015202020252 FIRMS2000 - 2009 (8 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)BBANC OF AMERICA SECURITIES LLC (CRD# 26091)2000 - 2000 (<1 year)BNATIONSBANC CAPITAL MARKETS, INC. (CRD# 26091)1992 - 1996 (3 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1987 - 1989 (2 years)
License(s)

State Registrations

B
Arizona 10/5/2009

B
New Jersey 7/29/2021

B
Arkansas 2/6/2018

B
New York 4/1/2016

B
California 10/5/2009

B
North Carolina 2/3/2022

B
District of Columbia 11/22/2016

B
Ohio 3/27/2018

B
Florida 2/7/2018

B
Oklahoma 10/5/2009

B
Georgia 5/14/2019

B
Oregon 3/2/2011

B
Indiana 10/5/2009

B
Pennsylvania 11/9/2012

B
Iowa 3/18/2024

B
Texas 10/5/2009

B
Kansas 10/5/2009

IA
Texas 10/5/2009

B
Louisiana 3/9/2011

B
Utah 10/14/2021

B
Maryland 8/4/2020

B
Washington 11/6/2014

B
Minnesota 6/1/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
5960 Berkshire Ln Ste 1200, DALLAS, TX 75225
Parker, TX
Registered with this firm since 10/5/2009

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
5960 Berkshire Ln Ste 1200, DALLAS, TX 75225
Parker, TX
Registered with this firm since 10/5/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/06/2009 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) RICHARDSON, TX
B
03/27/2009 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) RICHARDSON, TX
IA
12/19/2000 - 03/30/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DALLAS, TX
B
12/19/2000 - 03/30/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DALLAS, TX
B
05/01/2000 - 12/15/2000 BANC OF AMERICA SECURITIES LLC (CRD#:26091) NEW YORK, NY
B
09/28/1992 - 07/31/1996 NATIONSBANC CAPITAL MARKETS, INC. (CRD#:26091) NEW YORK, NY
B
08/20/1987 - 11/11/1989 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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B
Broker
IA
Investment Adviser
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.