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KELLY SUE SCHWIGEL
KELLY SUE METZ
CRD#: 4442624
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 835 Geneva Pkwy N Ste 2
Lake Geneva, WI 53147
Lake Geneva, WI 53147
0
Disclosures
23
Years of Experience
View By:
State Registrations
B
Arizona 3/3/2022
B
South Carolina 3/3/2022
B
Florida 2/10/2023
B
Tennessee 3/3/2022
B
Illinois 2/22/2022
B
Texas 3/3/2022
B
Iowa 2/22/2022
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Texas 3/7/2022
B
Michigan 5/4/2022
B
Wisconsin 11/21/2001
B
Ohio 3/4/2022
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Wisconsin 11/21/2001
SRO Registrations
B
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IA
Registered with this firm since 11/21/2001
B
Registered with this firm since 11/7/2001
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/07/2001 - 07/03/2006 | MINNEAPOLIS, MN |
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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.
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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.