Individual Firm
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GARY LUTWEN
GARY SCOTT LUTWEN
CRD#: 2734331
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 660 Newport Center Dr
Ste 800
Newport Beach, CA 92660
Ste 800
Newport Beach, CA 92660
0
Disclosures
28
Years of Experience
View By:
State Registrations
B
Alaska 10/7/2021
B
New Jersey 7/27/2023
B
Arizona 9/23/2021
B
New Mexico 11/20/2024
B
California 9/23/2021
B
New York 9/23/2021
IA
California 9/23/2021
B
North Carolina 9/23/2021
B
Colorado 9/23/2021
B
Oregon 1/4/2022
B
District of Columbia 9/23/2021
B
Pennsylvania 9/23/2021
B
Florida 9/23/2021
B
South Carolina 10/18/2024
B
Georgia 9/23/2021
B
Texas 9/23/2021
B
Illinois 12/5/2024
IA
Texas 9/23/2021
B
Louisiana 9/23/2021
B
Utah 1/9/2023
B
Massachusetts 6/28/2022
B
Virginia 9/23/2021
B
Minnesota 9/29/2021
B
Washington 9/23/2021
B
Nevada 9/23/2021
B
Wisconsin 7/20/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 9/23/2021
B
Registered with this firm since 9/23/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/18/2015 - 09/28/2021 | IRVINE, CA | |
B | 11/17/2015 - 09/28/2021 | IRVINE, CA | |
IA | 06/01/2009 - 11/20/2015 | IRVINE, CA | |
B | 06/01/2009 - 11/20/2015 | IRVINE, CA | |
IA | 04/02/2007 - 06/01/2009 | IRVINE, CA | |
B | 04/02/2007 - 06/01/2009 | IRVINE, CA | |
IA | 08/24/1998 - 04/02/2007 | IRVINE, CA | |
B | 04/30/1996 - 04/02/2007 | IRVINE, CA |
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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.