Individual Firm
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KERRY EUGENE WATE
Kerry Wate
CRD#: 2266721
IA
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AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 929 108th Ave NE Ste 1200
Bellevue, WA 98004
Bellevue, WA 98004
0
Disclosures
20
Years of Experience
View By:
State Registrations
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Arizona 3/11/2022
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New York 3/14/2022
B
California 12/12/2019
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North Carolina 1/13/2020
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Colorado 4/10/2023
B
Ohio 9/26/2024
B
Florida 12/12/2019
B
Oklahoma 9/25/2024
B
Georgia 5/28/2021
B
Oregon 8/22/2022
B
Hawaii 2/18/2021
B
Pennsylvania 7/7/2021
B
Idaho 12/12/2019
B
South Carolina 9/25/2024
B
Illinois 8/6/2024
B
Texas 7/19/2021
B
Maryland 7/30/2024
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Texas 7/19/2021
B
Michigan 1/27/2021
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Utah 9/25/2024
B
Minnesota 5/17/2024
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Virginia 8/22/2022
B
Montana 10/19/2020
B
Washington 12/12/2019
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Nevada 11/15/2021
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Washington 12/12/2019
B
New Jersey 8/27/2024
SRO Registrations
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Registered with this firm since 12/12/2019
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Registered with this firm since 12/12/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/01/2013 - 12/16/2019 | BELLEVUE, WA | |
B | 03/07/2013 - 12/16/2019 | BELLEVUE, WA | |
IA | 12/09/2005 - 09/17/2007 | BELLEVUE, WA | |
IA | 10/24/2005 - 09/17/2007 | BELLEVUE, WA | |
IA | 10/24/2005 - 09/17/2007 | BELLEVUE, WA | |
B | 12/21/2005 - 09/17/2007 | BELLEVUE, WA | |
IA | 02/28/2000 - 12/31/2002 | SAMMAMISH, WA | |
B | 09/17/1992 - 08/27/1996 | NEW YORK, NY |
SAMMAMISH, WA
02/28/2000 - 12/31/2002
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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.