Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
SCOTT ALLEN DZIUBEK
SCOTT ALAN DZIUBEK
CRD#: 1807499
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 235 N Executive Dr
Ste 200
Brookfield, WI 53005-6000
Ste 200
Brookfield, WI 53005-6000
View By:
10/17/2002
Customer Dispute
Settled
State Registrations
B
Arizona 9/21/2016
B
Nevada 10/2/2024
B
Arkansas 1/26/2021
B
New Mexico 1/8/2016
B
California 1/8/2016
B
New York 7/15/2016
B
Colorado 10/13/2023
B
North Carolina 1/28/2021
B
Florida 8/10/2016
B
South Carolina 1/26/2021
B
Georgia 11/1/2021
B
Tennessee 3/16/2021
B
Hawaii 11/3/2021
IA
Texas 10/5/2021
B
Illinois 1/8/2016
B
Texas 10/6/2021
B
Louisiana 1/26/2021
B
Virginia 1/28/2021
B
Michigan 10/7/2021
B
Washington 5/29/2018
B
Minnesota 1/8/2016
B
Wisconsin 1/8/2016
B
Missouri 1/26/2021
IA
Wisconsin 1/8/2016
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/8/2016
B
Registered with this firm since 1/8/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/23/2012 - 01/15/2016 | ELM GROVE, WI | |
B | 12/16/2009 - 01/13/2016 | ELM GROVE, WI | |
IA | 12/16/2009 - 07/25/2012 | ELM GROVE, WI | |
IA | 09/08/2009 - 12/22/2009 | BROOKFIELD, WI | |
B | 09/08/2009 - 12/22/2009 | BROOKFIELD, WI | |
IA | 09/24/2002 - 09/08/2009 | BROOKFIELD, WI | |
B | 09/24/2002 - 09/08/2009 | BROOKFIELD, WI | |
IA | 02/11/1993 - 09/23/2002 | BROOKFIELD, WI | |
B | 05/01/1991 - 09/23/2002 | CHESTERFIELD, MO | |
B | 05/23/1989 - 05/08/1991 | OAKBROOK TERRACE, IL |
BROOKFIELD, WI
02/11/1993 - 09/23/2002
For additional information about investment advisers or broker-dealers, please visit
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.