Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JONATHAN PAUL STANLEY
CRD#: 2534135
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 101 W BIG BEAVER RD
STE 425
TROY, MI 48084
Registration History
19952000200520102015202020252 FIRMS2011 - 2022 (11 years)2 FIRMS2022 - Present (2 years)BRBC CAPITAL MARKETS, LLC (CRD# 31194)2009 - 2011 (2 years)BFERRIS, BAKER WATTS, LLC (CRD# 285)2006 - 2009 (3 years)BMORGAN STANLEY DW INC. (CRD# 7556)1995 - 2006 (10 years)BMARINER FINANCIAL SERVICES, INC. (CRD# 8292)1995 - 1995 (<1 year)
License(s)

State Registrations

B
Arizona 4/29/2022
B
North Carolina 4/29/2022
B
California 4/29/2022
B
Ohio 4/29/2022
B
Colorado 4/29/2022
B
Oregon 1/31/2023
B
Florida 4/29/2022
B
South Carolina 4/29/2022
B
Georgia 4/29/2022
B
Tennessee 1/6/2023
B
Illinois 4/29/2022
B
Texas 4/29/2022
B
Indiana 3/8/2024
IA
Texas 4/29/2022
B
Kentucky 4/29/2022
B
Virginia 4/29/2022
B
Michigan 4/29/2022
B
Washington 4/29/2022
IA
Michigan 4/29/2022
B
West Virginia 4/29/2022
B
Minnesota 2/1/2023
B
Wisconsin 4/29/2022
B
Mississippi 4/29/2022
B
Wyoming 4/29/2022
B
New York 4/29/2022

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)
101 W BIG BEAVER RD STE 425, TROY, MI 48084
Bruce Twp, MI
Registered with this firm since 4/29/2022
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
101 W BIG BEAVER RD STE 425, TROY, MI 48084
Bruce Twp, MI
Registered with this firm since 4/29/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/22/2011 - 04/30/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) AUBURN HILLS, MI
B
 03/17/2011 - 04/30/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) AUBURN HILLS, MI
B
 03/13/2009 - 03/24/2011 RBC CAPITAL MARKETS, LLC (CRD#:31194) GROSSE POINTE FARMS, MI
B
 02/17/2006 - 03/13/2009 FERRIS, BAKER WATTS, LLC (CRD#:285) AUBURN HILLS, MI
B
 08/01/1995 - 02/21/2006 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 02/24/1995 - 09/20/1995 MARINER FINANCIAL SERVICES, INC. (CRD#:8292) LARGO, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.