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RICHARD DENNIS THOMAS OVERY
RICK OVERY
CRD#: 2959581
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 901 Richmond Road
Williamsburg, VA 23185-2821
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2009 (3 years)2 FIRMS2009 - 2024 (14 years)2 FIRMS2024 - Present (<1 year)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)1997 - 2006 (8 years)IAMORGAN STANLEY SMITH BARNEY LLC (CRD# 149777)2009 - 2009 (<1 year)IALEGG MASON WOOD WALKER INC (CRD# 6555)1999 - 2006 (6 years)
License(s)

State Registrations

B
Alaska 3/25/2024

B
Oregon 3/25/2024

B
California 3/25/2024

B
Pennsylvania 3/25/2024

B
Colorado 3/25/2024

B
South Carolina 3/25/2024

B
Connecticut 3/25/2024

B
Texas 3/25/2024

B
Florida 3/25/2024

IA
Texas 3/25/2024

B
Illinois 3/25/2024

B
Virginia 3/25/2024

B
Maryland 7/3/2024

IA
Virginia 3/25/2024

B
New Jersey 3/25/2024

B
Washington 3/25/2024

B
North Carolina 3/25/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
901 Richmond Road, Williamsburg, VA 23185-2821
Registered with this firm since 3/25/2024

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
901 Richmond Road, Williamsburg, VA 23185-2821
Registered with this firm since 3/25/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/22/2009 - 03/28/2024 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) WILLIAMSBURG, VA
B
06/05/2009 - 03/28/2024 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) WILLIAMSBURG, VA
IA
06/01/2009 - 06/22/2009 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) WILLIAMSBURG, VA
B
02/21/2006 - 06/22/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WILLIAMSBURG, VA
IA
02/21/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WILLIAMSBURG, VA
IA
06/11/1999 - 02/21/2006 LEGG MASON WOOD WALKER INC (CRD#:6555) WILLIAMSBURG, VA
B
12/18/1997 - 02/21/2006 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
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B
Broker
IA
Investment Adviser
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.