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
STEPHEN MICHAEL SCHAD
CRD#: 2740620
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 877 BALTIMORE ANNAPOLIS BLVD
STE 315
SEVERNA PARK, MD 21146
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1996 - Present (28 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)1996 - 2006 (10 years)
License(s)

State Registrations

B
Delaware 1/30/1997
B
New Jersey 9/11/1997
B
Florida 11/24/1998
B
New York 1/25/2006
B
Georgia 10/11/2017
B
North Carolina 2/26/2003
B
Idaho 11/19/2018
B
Pennsylvania 1/30/1997
B
Illinois 7/24/2023
B
South Carolina 9/2/2015
B
Maine 9/3/2019
B
Tennessee 4/26/2024
B
Maryland 7/3/1996
B
Texas 1/18/2012
IA
Maryland 8/20/1996
IA
Texas 1/19/2012
B
Mississippi 11/7/2013
B
Virginia 4/27/1999
B
New Hampshire 4/28/2015

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)
877 BALTIMORE ANNAPOLIS BLVD STE 315, SEVERNA PARK, MD 21146
Edgewater, MD
Registered with this firm since 8/20/1996
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
877 BALTIMORE ANNAPOLIS BLVD STE 315, SEVERNA PARK, MD 21146
Edgewater, MD
Registered with this firm since 7/3/1996
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/03/1996 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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.