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
ALBERT PAUL BROCIOUS JR
ALBERT PAUL BROCIOUS, BJ BROCIOUS JR
CRD#: 3018499
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 1105 LAUREL OAK ROAD
SUITE 142
VOORHEES, NJ 08043
Registration History
199820002002200420062008201020122014201620182020202220242026IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2002 - Present (22 years)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)1998 - Present (26 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)1998 - 2006 (8 years)
License(s)

State Registrations

B
Arizona 1/23/2023
IA
New Jersey 7/29/2002
B
California 6/19/2013
B
New York 6/28/2002
B
Connecticut 7/15/2022
B
North Carolina 2/2/2011
B
Delaware 6/25/2001
B
Oklahoma 1/23/2023
B
Florida 11/29/2006
B
Pennsylvania 6/19/1998
B
Georgia 10/30/2014
B
South Carolina 8/8/2013
B
Maryland 2/2/2022
B
Tennessee 10/20/2022
B
Massachusetts 6/3/2011
B
Texas 11/6/2018
B
Michigan 6/19/2013
IA
Texas 11/7/2018
B
Nevada 1/23/2023
B
Vermont 11/6/2018
B
New Jersey 6/22/1998
B
Virginia 10/28/1998

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)
1105 LAUREL OAK ROAD SUITE 142, VOORHEES, NJ 08043
Registered with this firm since 7/29/2002
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
1105 LAUREL OAK ROAD SUITE 142, VOORHEES, NJ 08043
Registered with this firm since 6/19/1998
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/19/1998 - 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.