Individual Firm
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JAMES EDWARD STEFANOFF
CRD#: 4156586
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 8801 N Main Street Ste 101
DAYTON, OH 45415
DAYTON, OH 45415
View By:
8/27/2019
Judgment / Lien
12/17/2009
Customer Dispute
Closed-No Action
12/21/2007
Customer Dispute
Denied
7/7/2005
Customer Dispute
Denied
State Registrations
B
California 9/23/2011
IA
Ohio 9/26/2011
B
Florida 9/23/2011
B
West Virginia 7/7/2017
B
Ohio 9/23/2011
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/23/2011
B
Registered with this firm since 9/23/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/03/2005 - 09/30/2011 | CENTERVILLE, OH | |
B | 12/17/2004 - 09/30/2011 | CENTERVILLE, OH | |
IA | 08/12/2002 - 12/06/2004 | DAYTON, OH | |
B | 08/05/2002 - 12/06/2004 | NEW YORK, NY | |
B | 07/14/2000 - 07/24/2002 | PURCHASE, NY | |
B | 07/14/2000 - 08/07/2001 | WEEHAWKEN, NJ |
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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.