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SCOTT DAVID SMITH
CRD#: 2186611
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 205 W Jefferson Blvd Ste 502
South Bend, IN 46601
South Bend, IN 46601
0
Disclosures
32
Years of Experience
View By:
State Registrations
B
Alabama 8/22/2022
B
Montana 6/22/2017
B
Arizona 1/5/2016
B
New York 2/14/2023
B
California 1/7/2011
B
North Carolina 6/30/2005
B
Colorado 10/21/2019
B
Ohio 1/18/2001
B
Florida 12/20/2003
B
Oregon 11/2/2010
B
Illinois 7/30/2003
B
Pennsylvania 3/7/2022
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Indiana 12/14/1998
B
South Carolina 1/12/2001
B
Indiana 1/12/2001
B
Tennessee 11/3/2015
B
Iowa 8/22/2022
B
Texas 6/10/2004
B
Maine 10/21/2019
IA
Texas 10/9/2006
B
Massachusetts 4/6/2021
B
Washington 6/28/2017
B
Michigan 1/12/2001
B
West Virginia 10/21/2019
B
Minnesota 7/13/2023
B
Wisconsin 7/10/2007
SRO Registrations
B
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B
Registered with this firm since 1/12/2001
IA
Registered with this firm since 12/14/1998
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/12/2001 - 07/03/2006 | MINNEAPOLIS, MN | |
B | 07/13/1994 - 01/12/2001 | MINNEAPOLIS, MN | |
B | 05/28/1992 - 01/12/2001 | MINNEAPOLIS, MN |
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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.
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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.