• 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.
Tom-Ann Caster
TOM ANN ALLING, TOM-ANN ALLING, TOM-ANN ECKER
CRD#: 4171114
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 4951 77th St W Ste 18
Edina, MN 55435
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2002 (1 year)2 FIRMS2002 - 2018 (15 years)2 FIRMS2019 - 2021 (1 year)2 FIRMS2022 - Present (3 years)
Disclosure(s)
View By:
2/25/2019
Judgment / Lien
8/24/2018
Employment Separation After Allegations
License(s)

State Registrations

B
Texas 2/15/2022

IA
Texas 2/15/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
4951 77th St W Ste 18, Edina, MN 55435
Houston, TX
Registered with this firm since 2/15/2022

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
4951 77th St W Ste 18, Edina, MN 55435
Houston, TX
Registered with this firm since 2/15/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/15/2019 - 01/08/2021 AMERIPRISE FINANCIAL SERVICES, LLC. (CRD#:6363) HOUSTON, TX
B
05/13/2019 - 01/08/2021 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) HOUSTON, TX
IA
11/15/2002 - 09/18/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) THE WOODLANDS, TX
B
11/15/2002 - 09/18/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) THE WOODLANDS, TX
IA
11/16/2000 - 08/15/2002 MORGAN STANLEY (CRD#:7556) THE WOODLANDS, TX
B
10/17/2000 - 08/15/2002 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.