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WALTER S SCHRAM
CRD#: 1728096
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 32255 NORTHWESTERN HWY
STE 200
FARMINGTON HILLS, MI 48334-1574
Registration History
199019952000200520102015202020252 FIRMS2017 - Present (7 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2006 - 2017 (10 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2006 (13 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1987 - 1988 (<1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2010 - 2017 (6 years)
Disclosure(s)
View By:
1/15/2025
Customer Dispute
Pending
1/14/2016
Financial
Final
1/13/2016
Financial
Final
11/13/2015
Financial
Final
11/2/2015
Financial
Final
5/4/2015
Financial
Final
4/22/2015
Financial
Final
2/13/2012
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 8/25/2017

B
Minnesota 12/4/2020

B
California 8/25/2017

B
Nevada 8/25/2017

B
Connecticut 5/2/2024

B
New Jersey 2/9/2021

B
District of Columbia 8/25/2017

B
New Mexico 9/30/2019

B
Florida 8/25/2017

B
New York 8/25/2017

B
Georgia 9/5/2017

B
Ohio 8/25/2017

B
Illinois 8/29/2017

B
Pennsylvania 5/24/2022

B
Indiana 10/21/2024

B
South Carolina 4/29/2019

B
Maine 9/18/2023

B
Texas 4/22/2020

B
Maryland 2/28/2023

IA
Texas 4/22/2020

B
Massachusetts 4/10/2024

B
Virginia 8/25/2017

B
Michigan 8/25/2017

B
Washington 4/18/2019

IA
Michigan 8/30/2017

B
Wisconsin 8/25/2017

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)
32255 NORTHWESTERN HWY STE 200, FARMINGTON HILLS, MI 48334-1574
West Bloomfield, MI
Registered with this firm since 8/30/2017

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
32255 NORTHWESTERN HWY STE 200, FARMINGTON HILLS, MI 48334-1574
West Bloomfield, MI
Registered with this firm since 8/25/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/08/2010 - 09/15/2017 UBS FINANCIAL SERVICES INC. (CRD#:8174) FARMINGTON HILLS, MI
B
10/06/2006 - 09/15/2017 UBS FINANCIAL SERVICES INC. (CRD#:8174) FARMINGTON HILLS, MI
B
07/31/1993 - 10/16/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) FARMINGTON, MI
B
04/11/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
09/24/1987 - 04/11/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
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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.