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Detailed Report
CARLOS VIERA
CRD#: 3007893
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 3050 CHAIN BRIDGE RD
STE 101
FAIRFAX, VA 22030-2834
Registration History
197019751980198519901995200020052010201520202025IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)1999 - Present (26 years)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)1998 - Present (26 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)1998 - 2006 (8 years)
Disclosure(s)
View By:
1/1/1971
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 11/29/2017
B
North Carolina 7/30/2012
B
Arizona 3/2/2010
B
Oregon 2/29/2016
B
California 6/3/2002
B
South Carolina 4/4/2014
B
Connecticut 4/24/2015
B
Tennessee 12/20/2012
B
District of Columbia 5/1/1998
IA
Texas 1/6/2015
B
Florida 7/1/2002
B
Texas 1/7/2015
B
Hawaii 11/10/2015
B
Vermont 5/11/2020
B
Iowa 7/6/2023
B
Virgin Islands 11/29/2017
B
Maryland 4/28/1998
B
Virginia 3/19/1999
B
Michigan 12/12/2012
IA
Virginia 3/31/1999
B
New Mexico 4/2/2020
B
Washington 1/24/2011
B
New York 5/21/2002
B
West Virginia 1/26/2010

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)
3050 CHAIN BRIDGE RD STE 101, FAIRFAX, VA 22030-2834
Vienna, VA
Registered with this firm since 3/31/1999
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
3050 CHAIN BRIDGE RD STE 101, FAIRFAX, VA 22030-2834
Vienna, VA
Registered with this firm since 4/17/1998
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 04/17/1998 - 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.