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ERIC KEITH FOLIA
CRD#: 4150240
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 264 S River Rd
Ste 440
Bedford, NH 03110-6939
Ste 440
Bedford, NH 03110-6939
0
Disclosures
24
Years of Experience
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State Registrations
B
California 5/12/2003
B
New York 8/4/2015
B
Colorado 3/29/2005
B
North Carolina 2/9/2023
B
Connecticut 12/14/2017
B
Ohio 7/6/2016
B
Delaware 3/13/2024
B
South Carolina 1/3/2018
B
Florida 9/9/2009
B
Tennessee 2/9/2023
B
Maine 3/16/2010
B
Texas 5/1/2019
B
Massachusetts 4/16/2003
IA
Texas 5/1/2019
B
Missouri 9/16/2024
B
Vermont 1/21/2016
B
New Hampshire 1/31/2003
B
Washington 9/11/2023
IA
New Hampshire 1/31/2003
SRO Registrations
B
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IA
Registered with this firm since 1/31/2003
B
Registered with this firm since 1/31/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/31/2003 - 07/03/2006 | MINNEAPOLIS, MN | |
IA | 02/28/2002 - 01/15/2003 | MERRIMACK, NH | |
B | 06/06/2000 - 12/19/2002 | SMITHFIELD, RI |
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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.