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Detailed Report
IRENE TATA
CRD#: 2053218
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 6010 EXECUTIVE BLVD
STE 1000
ROCKVILLE, MD 20852-1000
Registration History
199019952000200520102015202020252 FIRMS2012 - Present (13 years)BOPPENHEIMER & CO., INC. (CRD# 630)1993 - 1995 (1 year)BDAIWA SECURITIES AMERICA INC. (CRD# 1576)1993 - 1994 (<1 year)BDAIWA AMERICA STRATEGIC ADVISO... (CRD# 27542)1991 - 1993 (1 year)BDAIWA SECURITIES AMERICA INC. (CRD# 1576)1990 - 1991 (<1 year)
License(s)

State Registrations

B
California 8/5/2020
B
Michigan 1/24/2023
B
District of Columbia 2/15/2012
B
Minnesota 12/13/2022
B
Florida 10/16/2024
B
New Jersey 6/21/2017
B
Georgia 5/12/2023
B
New York 1/16/2024
B
Maryland 2/15/2012
B
Tennessee 8/11/2016
IA
Maryland 2/15/2012
B
Virginia 2/15/2012
B
Massachusetts 1/20/2023

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)
6010 EXECUTIVE BLVD STE 1000, ROCKVILLE, MD 20852-1000
Registered with this firm since 2/15/2012
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
6010 EXECUTIVE BLVD STE 1000, ROCKVILLE, MD 20852-1000
Registered with this firm since 2/15/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 11/15/1993 - 06/13/1995 OPPENHEIMER & CO., INC. (CRD#:630) NEW YORK, NY
B
 04/01/1993 - 02/08/1994 DAIWA SECURITIES AMERICA INC. (CRD#:1576) NEW YORK, NY
B
 05/18/1991 - 04/01/1993 DAIWA AMERICA STRATEGIC ADVISORS CORPORATION (CRD#:27542) NEW YORK, NY
B
 09/04/1990 - 05/20/1991 DAIWA SECURITIES AMERICA INC. (CRD#:1576) 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.