• Individual
  • Firm
at
in
in
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.
THOMAS EDWARD SMITH JR
CRD#: 2085017
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 41850 W 11 Mile Rd Ste 207
Novi, MI 48375
Registration History
199019952000200520102015202020252 FIRMS2013 - 2014 (<1 year)2 FIRMS2014 - Present (10 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)1990 - 2013 (22 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)1990 - 2006 (15 years)IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2010 - 2013 (3 years)
Disclosure(s)
View By:
1/26/2004
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 8/18/2023

B
Minnesota 2/12/2025

B
California 2/13/2019

B
New York 7/11/2022

B
Colorado 2/13/2019

B
Ohio 2/13/2019

B
Delaware 6/2/2020

B
Oklahoma 7/11/2022

B
District of Columbia 11/19/2024

B
Oregon 8/15/2022

B
Florida 2/13/2019

B
Pennsylvania 8/15/2022

B
Illinois 2/13/2019

B
South Carolina 8/22/2019

B
Indiana 8/15/2022

B
South Dakota 8/15/2022

B
Iowa 8/15/2022

B
Tennessee 7/17/2024

B
Louisiana 3/7/2024

B
Texas 2/13/2019

B
Maryland 3/20/2019

IA
Texas 2/13/2019

B
Massachusetts 1/19/2021

B
Washington 2/13/2019

B
Michigan 3/19/2014

B
Wisconsin 8/15/2022

IA
Michigan 3/24/2014

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)
41850 W 11 Mile Rd Ste 207, Novi, MI 48375
Novi, MI
Registered with this firm since 3/24/2014

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
41850 W 11 Mile Rd Ste 207, Novi, MI 48375
Novi, MI
Registered with this firm since 3/19/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/07/2013 - 03/17/2014 KALOS MANAGEMENT (CRD#:133025) PLYMOUTH, MI
B
06/03/2013 - 03/17/2014 KALOS CAPITAL, INC. (CRD#:44337) PLYMOUTH, MI
IA
07/06/2010 - 07/11/2013 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) NOVI, MI
B
11/19/1990 - 07/11/2013 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) NOVI, MI
B
11/19/1990 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
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.