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
RICHARD SCOTT MULTHAUPT
CRD#: 3236597
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 101 W BIG BEAVER RD
STE 425
TROY, MI 48084
Registration History
20002002200420062008201020122014201620182020202220242026IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2010 - Present (14 years)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2009 - Present (15 years)BAMERIPRISE ADVISOR SERVICES, INC. (CRD# 5979)1999 - 2009 (10 years)
License(s)

State Registrations

B
Alabama 1/23/2024
B
Minnesota 5/4/2011
B
Alaska 1/23/2024
B
Missouri 1/23/2024
B
Arizona 1/23/2024
B
Nevada 1/23/2024
B
California 10/5/2009
B
New Hampshire 6/30/2023
B
Colorado 11/19/2012
B
New York 4/22/2021
B
Connecticut 10/5/2009
B
North Carolina 1/16/2013
B
Florida 10/5/2009
B
Ohio 10/5/2009
B
Georgia 10/5/2009
B
Pennsylvania 10/5/2020
B
Hawaii 1/31/2024
B
South Carolina 2/18/2014
B
Illinois 10/5/2009
B
Texas 10/5/2009
B
Indiana 10/5/2009
IA
Texas 2/28/2025
B
Maryland 1/23/2024
B
Virginia 6/5/2013
B
Michigan 10/5/2009
B
Wisconsin 8/31/2023
IA
Michigan 11/5/2010

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)
101 W BIG BEAVER RD STE 425, TROY, MI 48084
Clarkston, MI
Registered with this firm since 11/5/2010
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
101 W BIG BEAVER RD STE 425, TROY, MI 48084
Clarkston, MI
Registered with this firm since 10/5/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/23/1999 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) TROY, MI
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.