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SURESH SALLAN
SURESM SALLAN
CRD#: 2444233
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 2708 New Hartford Rd
OWENSBORO, KY 42303
OWENSBORO, KY 42303
0
Disclosures
27
Years of Experience
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State Registrations
B
Alaska 3/11/2019
B
Maryland 1/5/2021
B
Colorado 7/19/2021
B
Michigan 1/30/2014
B
Florida 7/22/2009
B
New Jersey 11/29/2001
B
Georgia 6/16/2006
B
Ohio 1/4/2002
B
Illinois 10/30/2024
B
Tennessee 2/7/2005
B
Indiana 9/22/2004
B
Texas 12/5/2024
B
Kentucky 10/25/2001
IA
Texas 12/5/2024
IA
Kentucky 9/17/2003
B
Wisconsin 10/30/2024
SRO Registrations
B
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IA
Registered with this firm since 4/2/2002
B
Registered with this firm since 10/25/2001
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/25/2001 - 07/03/2006 | MINNEAPOLIS, MN | |
B | 05/11/1999 - 09/18/2001 | ST. PETERSBURG, FL | |
B | 08/22/1997 - 10/09/1998 | WALNUT, CA | |
B | 01/04/1995 - 09/22/1995 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.