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Marc Gendell
MARC STEVEN GENDELL, MARC GENDELL
CRD#: 3015427
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 3353 Peachtree Rd NE Ste 920
ATLANTA, GA 30326-1436
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2004 (<1 year)2 FIRMS2004 - 2021 (17 years)2 FIRMS2021 - Present (3 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1998 - 2003 (5 years)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2001 - 2003 (2 years)
Disclosure(s)
View By:
11/13/2001
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Arizona 6/16/2021

IA
Georgia 6/17/2021

B
Colorado 4/4/2023

B
New York 6/16/2021

B
Connecticut 6/16/2021

B
Ohio 6/16/2021

B
Florida 6/16/2021

B
Virginia 6/16/2021

B
Georgia 6/16/2021

B
Wisconsin 6/16/2021

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)
3353 Peachtree Rd NE Ste 920, ATLANTA, GA 30326-1436
Atlanta, GA
Registered with this firm since 6/16/2021

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
3353 Peachtree Rd NE Ste 920, ATLANTA, GA 30326-1436
Atlanta, GA
Registered with this firm since 6/16/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/14/2004 - 06/25/2021 UBS FINANCIAL SERVICES INC. (CRD#:8174) ATLANTA, GA
B
05/14/2004 - 06/25/2021 UBS FINANCIAL SERVICES INC. (CRD#:8174) ATLANTA, GA
IA
07/01/2003 - 05/24/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) ATLANTA, GA
B
07/01/2003 - 05/24/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
06/22/2001 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) ATLANTA, GA
B
04/09/1998 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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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.