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THOMAS MICHAEL MOCCIA
CRD#: 2427089
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 3027 TOWNSGATE RD
STE 200
WESTLAKE VILLAGE, CA 91361-5863
Registration History
19952000200520102015202020252 FIRMS2009 - Present (15 years)BAMERIPRISE ADVISOR SERVICES, INC. (CRD# 5979)1994 - 2009 (15 years)IAAMERIPRISE ADVISOR SERVICES, INC. (CRD# 5979)2003 - 2009 (6 years)IARSM MCGLADREY, INC. (CRD# 111221)2003 - 2003 (<1 year)
Disclosure(s)
View By:
8/24/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 10/5/2009

B
New Jersey 2/28/2013

B
Arizona 10/5/2009

B
New Mexico 10/14/2016

B
California 10/5/2009

B
New York 1/18/2022

IA
California 10/5/2009

B
North Carolina 4/5/2024

B
Colorado 12/19/2012

B
Oregon 9/2/2022

B
Delaware 10/26/2015

B
Pennsylvania 1/15/2015

B
Florida 10/5/2009

B
Tennessee 9/2/2022

B
Hawaii 10/5/2009

B
Texas 10/5/2009

B
Idaho 12/14/2012

IA
Texas 2/20/2010

B
Illinois 10/5/2009

B
Utah 10/5/2009

B
Michigan 9/2/2022

B
Virginia 10/5/2009

B
Minnesota 3/18/2015

B
Washington 10/5/2009

B
Nevada 10/5/2009

B
Wisconsin 6/12/2018

B
New Hampshire 9/1/2023

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)
3027 TOWNSGATE RD STE 200, WESTLAKE VILLAGE, CA 91361-5863
Simi Valley, CA
Registered with this firm since 10/5/2009

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
3027 TOWNSGATE RD STE 200, WESTLAKE VILLAGE, CA 91361-5863
Simi Valley, CA
Registered with this firm since 10/5/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/27/2003 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) WOODLAND HILLS, CA
B
03/28/1994 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) WOODLAND HILLS, CA
IA
03/03/2003 - 07/09/2003 RSM MCGLADREY, INC. (CRD#:111221) BEVERLY HILLS, CA
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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.