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Detailed Report
DAWN MARIE WILLIAMS
DAWN MARIE ROETEMEYER, DAWN MARIE SPIERING
CRD#: 1895765
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 929 108th Ave NE Ste 1200
Bellevue, WA 98004
Registration History
199019952000200520102015202020252 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (4 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1992 - 2009 (17 years)
License(s)

State Registrations

B
Alabama 6/15/2018
B
New Jersey 8/6/2015
B
Alaska 3/5/2010
B
North Carolina 10/5/2009
B
Arizona 10/5/2009
B
Oklahoma 10/5/2009
B
California 10/5/2009
B
Oregon 10/5/2009
B
Colorado 10/19/2016
B
Pennsylvania 5/21/2015
B
Florida 7/19/2012
B
South Dakota 11/13/2014
B
Idaho 9/14/2020
B
Texas 10/5/2009
B
Massachusetts 3/6/2025
IA
Texas 10/5/2009
B
Michigan 1/2/2025
B
Virginia 4/3/2014
B
Montana 6/23/2023
B
Washington 10/5/2009
B
Nevada 6/23/2018
IA
Washington 10/5/2009

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
929 108th Ave NE Ste 1200, Bellevue, WA 98004
Issaquah, WA
Registered with this firm since 10/5/2009
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
929 108th Ave NE Ste 1200, Bellevue, WA 98004
Issaquah, WA
Registered with this firm since 10/5/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/21/2009 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) BELLEVUE, WA
B
 04/17/2009 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) BELLEVUE, WA
IA
 03/03/1992 - 05/08/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SEATTLE, WA
B
 07/31/1993 - 05/08/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SEATTLE, WA
B
 11/28/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.