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DOUGLAS RAYMOND ELLIOTT
Douglas Elliott
CRD#: 4265967
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 150 W Lincolnway Ste 102
Valparaiso, IN 46383
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2009 (2 years)2 FIRMS2009 - 2012 (3 years)2 FIRMS2014 - 2022 (8 years)2 FIRMS2022 - Present (2 years)BABN AMRO INCORPORATED (CRD# 15776)2002 - 2002 (<1 year)BABN AMRO INCORPORATED (CRD# 15776)2000 - 2001 (1 year)IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2022 - 2022 (<1 year)
License(s)

State Registrations

B
California 3/4/2022

B
Indiana 3/16/2024

B
Illinois 3/7/2022

IA
Indiana 3/18/2024

IA
Illinois 3/8/2022

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)
150 W Lincolnway Ste 102, Valparaiso, IN 46383
Chicago, IL
Registered with this firm since 3/8/2022

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
150 W Lincolnway Ste 102, Valparaiso, IN 46383
Chicago, IL
Registered with this firm since 3/4/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/07/2014 - 03/29/2022 MORGAN STANLEY (CRD#:149777) Chicago, IL
B
03/06/2014 - 03/29/2022 MORGAN STANLEY (CRD#:149777) Chicago, IL
IA
03/04/2022 - 03/04/2022 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Chicago, IL
B
01/27/2009 - 07/19/2012 J.P. MORGAN SECURITIES LLC (CRD#:79) CHICAGO, IL
IA
01/27/2009 - 05/15/2012 J.P. MORGAN SECURITIES LLC (CRD#:79) CHICAGO, IL
IA
04/03/2006 - 01/20/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
B
03/15/2006 - 01/20/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
B
02/15/2002 - 06/04/2002 ABN AMRO INCORPORATED (CRD#:15776) STAMFORD, CT
B
11/10/2000 - 12/07/2001 ABN AMRO INCORPORATED (CRD#:15776) STAMFORD, CT
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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.