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Detailed Report
SCOTT CRAIG ERKFITZ
CRD#: 4126291
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 23 S 8th St Ste 1200
Noblesville, IN 46060
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2001 (1 year)2 FIRMS2001 - 2004 (3 years)2 FIRMS2004 - 2011 (7 years)2 FIRMS2011 - 2017 (5 years)2 FIRMS2017 - Present (7 years)
Disclosure(s)
View By:
8/30/2016
Financial
Final
3/9/2016
Customer Dispute
Settled
11/13/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 8/27/2021
B
Nevada 5/17/2021
B
California 12/19/2017
B
New Mexico 1/26/2021
B
Colorado 1/3/2022
B
Ohio 9/26/2017
B
District of Columbia 2/4/2025
B
Rhode Island 1/15/2025
B
Florida 4/12/2018
B
South Carolina 4/6/2022
B
Illinois 8/30/2017
B
Tennessee 1/23/2024
IA
Indiana 8/11/2017
B
Texas 8/11/2017
B
Indiana 8/21/2017
IA
Texas 8/11/2017
B
Michigan 8/11/2017
B
Utah 3/24/2022
B
Mississippi 8/22/2017
B
Virginia 5/1/2024
B
Missouri 10/11/2017

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)
23 S 8th St Ste 1200, Noblesville, IN 46060
NOBLESVILLE, IN
Registered with this firm since 8/11/2017
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
23 S 8th St Ste 1200, Noblesville, IN 46060
NOBLESVILLE, IN
Registered with this firm since 8/11/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/18/2011 - 08/14/2017 MORGAN STANLEY (CRD#:149777) INDIANAPOLIS, IN
B
 11/18/2011 - 08/14/2017 MORGAN STANLEY (CRD#:149777) INDIANAPOLIS, IN
IA
 07/29/2004 - 11/18/2011 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) INDIANAPOLIS, IN
B
 07/29/2004 - 11/18/2011 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) INDIANAPOLIS, IN
IA
 08/16/2001 - 08/06/2004 UNION PLANTERS INVESTMENT ADVISORS, INC. (CRD#:111807) INDIANAPOLIS, IN
B
 06/29/2001 - 08/04/2004 PFIC SECURITIES CORPORATION (CRD#:34941) FRANKLIN, TN
B
 05/19/2000 - 06/12/2001 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) FORT WAYNE, IN
B
 05/19/2000 - 06/12/2001 THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (CRD#:2580) FORT WAYNE, IN
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.