Individual Firm
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MASSIMO AV MAGLIARI
CRD#: 2941336
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 2070 Butler Pike
Plymouth Meeting, PA 19462
Plymouth Meeting, PA 19462
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10/25/2001
Customer Dispute
Settled
State Registrations
B
Arizona 6/4/2005
B
New Jersey 3/12/1998
B
California 4/12/2000
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New Jersey 8/8/2024
B
Colorado 3/1/2024
B
New York 2/5/2008
B
Connecticut 1/27/2014
B
North Carolina 10/6/2005
B
Delaware 6/4/2003
B
Ohio 4/28/2004
B
District of Columbia 5/1/2017
B
Oregon 9/24/2014
B
Florida 2/29/2000
B
Pennsylvania 11/17/1997
B
Georgia 10/31/2014
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Pennsylvania 7/14/2003
B
Idaho 10/23/2006
B
Rhode Island 1/29/2013
B
Illinois 7/20/2007
B
South Carolina 9/25/2014
B
Iowa 9/24/2014
B
Tennessee 3/1/2024
B
Kentucky 9/24/2014
B
Texas 6/27/2005
B
Louisiana 11/21/2022
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Texas 10/3/2006
B
Maryland 2/28/2000
B
Utah 1/27/2014
B
Massachusetts 9/7/2001
B
Vermont 5/22/2019
B
Michigan 8/13/2007
B
Virginia 10/6/2005
B
Minnesota 1/11/2024
B
Washington 1/22/2015
B
Nebraska 9/24/2014
B
Wisconsin 7/17/2017
SRO Registrations
B
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IA
Registered with this firm since 7/14/2003
B
Registered with this firm since 11/10/1997
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/05/2009 - 09/08/2011 | CONSHOHOCKEN, PA | |
B | 11/10/1997 - 07/03/2006 | MINNEAPOLIS, MN |
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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.
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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.