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Detailed Report
BRIAN CHRISTOPHER BATTLE
CRD#: 2421649
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 6100 FAIRVIEW RD
STE 1105
CHARLOTTE, NC 28210
Registration History
1995200020052010201520202025IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2001 - Present (23 years)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)1994 - Present (30 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)1994 - 2006 (12 years)
Disclosure(s)
View By:
10/21/2010
Customer Dispute
Settled
License(s)

State Registrations

B
California 4/27/2010
B
North Carolina 6/23/1994
B
Colorado 5/6/2005
IA
North Carolina 12/31/2001
B
Delaware 4/28/2022
B
Ohio 1/9/2013
B
Florida 4/9/1997
B
Oregon 3/22/2012
B
Georgia 11/6/2002
B
Pennsylvania 6/14/2006
B
Louisiana 1/29/2024
B
South Carolina 5/16/1995
B
Maryland 4/28/1999
B
Tennessee 9/6/2013
B
Michigan 8/25/2020
B
Texas 5/1/2013
B
Minnesota 6/9/2015
IA
Texas 5/1/2013
B
New Hampshire 1/6/2010
B
Virginia 6/13/2000
B
New Jersey 8/31/2009
B
Washington 1/23/2006
B
New York 1/4/2023

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)
6100 FAIRVIEW RD STE 1105, CHARLOTTE, NC 28210
Charlotte, NC
Registered with this firm since 12/31/2001
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
6100 FAIRVIEW RD STE 1105, CHARLOTTE, NC 28210
Charlotte, NC
Registered with this firm since 6/3/1994
Previous Registration(s)
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B
 06/03/1994 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
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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.
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.