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VIJAY LUXMI BAJAJ
VIJAY LUXMI SOOD
CRD#: 3170124
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 2323 NAPERVILLE RD
STE 140
NAPERVILLE, IL 60563
STE 140
NAPERVILLE, IL 60563
0
Disclosures
25
Years of Experience
View By:
State Registrations
B
Arizona 6/29/2016
B
Michigan 1/14/2011
B
Colorado 11/9/2010
B
Missouri 9/14/2021
B
Florida 2/7/2008
B
New Jersey 6/15/2018
IA
Illinois 4/14/2004
B
New York 12/26/2008
B
Illinois 5/10/2004
B
North Carolina 6/28/2021
B
Kentucky 2/17/2017
B
Puerto Rico 9/16/2021
B
Maryland 11/3/2008
SRO Registrations
B
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B
Registered with this firm since 5/10/2004
IA
Registered with this firm since 4/14/2004
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/10/2004 - 07/03/2006 | MINNEAPOLIS, MN | |
B | 02/25/1999 - 02/23/2004 | CHICAGO, IL |
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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.
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.