Individual Firm
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SHAWN CHRISTOPHER SMITH
CRD#: 4444007
IA
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AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 790 Penllyn Blue Bell Pike
Ste 300
Blue Bell, PA 19422
Ste 300
Blue Bell, PA 19422
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9/27/2004
Customer Dispute
Denied
State Registrations
B
California 10/19/2020
B
New York 1/4/2021
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California 12/16/2024
B
North Carolina 1/6/2021
B
Delaware 3/25/2019
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Pennsylvania 3/22/2019
B
District of Columbia 3/25/2019
B
Pennsylvania 3/25/2019
B
Florida 3/25/2019
B
Texas 2/13/2024
B
Maryland 3/25/2019
IA
Texas 2/14/2024
B
Massachusetts 2/23/2022
B
Vermont 8/5/2021
B
New Jersey 3/25/2019
B
Virginia 3/25/2019
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
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Registered with this firm since 3/25/2019
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Registered with this firm since 3/22/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/19/2012 - 09/18/2017 | PHILADELPHIA, PA | |
B | 11/20/2012 - 09/18/2017 | NEW YORK, NY | |
B | 10/09/2012 - 11/19/2012 | NEW YORK, NY | |
IA | 10/21/2009 - 10/09/2012 | NEW YORK, NY | |
B | 10/07/2009 - 10/09/2012 | NEW YORK, NY | |
IA | 08/22/2006 - 05/11/2009 | RADNOR, PA | |
B | 08/21/2006 - 05/11/2009 | RADNOR, PA | |
IA | 10/12/2001 - 01/05/2006 | BETHESDA, MD | |
B | 09/19/2001 - 01/05/2006 | MINNEAPOLIS, MN | |
B | 09/19/2001 - 01/05/2006 | 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.
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.