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HOWARD ANDREW SWANFELDT II
ANDY SWANFELDT
CRD#: 2392126
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 8850 Boedeker Dr
Dallas, TX 75225
Registration History
19952000200520102015202020252 FIRMS2005 - 2007 (2 years)2 FIRMS2008 - 2023 (15 years)2 FIRMS2023 - Present (1 year)BBANC ONE SECURITIES CORPORATION (CRD# 16999)1995 - 2005 (10 years)BNATIONSSECURITIES (CRD# 32542)1993 - 1995 (1 year)IABANC ONE SECURITIES CORPORATION (CRD# 16999)2004 - 2005 (<1 year)
Disclosure(s)
View By:
5/24/2002
Customer Dispute
Settled
License(s)

State Registrations

B
Arkansas 11/3/2023

B
New Mexico 6/28/2024

B
California 11/3/2023

B
North Carolina 11/3/2023

B
District of Columbia 11/17/2023

B
Oklahoma 11/22/2023

B
Kansas 11/27/2023

B
Oregon 11/17/2023

B
Louisiana 11/3/2023

IA
Texas 8/21/2023

B
Michigan 11/3/2023

B
Texas 11/3/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
8850 Boedeker Dr, Dallas, TX 75225
Dallas, TX
Registered with this firm since 11/3/2023

IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
8850 Boedeker Dr, Dallas, TX 75225
Dallas, TX
Registered with this firm since 8/21/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/08/2008 - 11/06/2023 COMERICA SECURITIES (CRD#:17079) DALLAS, TX
B
01/08/2008 - 11/03/2023 COMERICA SECURITIES (CRD#:17079) DALLAS, TX
IA
07/06/2005 - 12/21/2007 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) DALLAS, TX
B
07/06/2005 - 12/21/2007 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) DALLAS, TX
IA
12/17/2004 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) DALLAS, TX
B
06/02/1995 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
09/03/1993 - 06/23/1995 NATIONSSECURITIES (CRD#:32542)
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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.