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Detailed Report
BARBARA AMBERG O'CONNOR
BARBARA ANN AMBERG, BARBARA ANN O'CONNOR, BARBARA AMBERG OCONNOR, BARBARA Ann Amberg OCONNOR
CRD#: 4547056
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 401 2nd St N Ste 102
La Crosse, WI 54601
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2011 - 2012 (<1 year)IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2013 - Present (11 years)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2012 - Present (13 years)BCOMMONWEALTH FINANCIAL NETWORK (CRD# 8032)2008 - 2011 (2 years)BCUSO FINANCIAL SERVICES, L.P. (CRD# 42132)2002 - 2008 (6 years)
Disclosure(s)
View By:
9/14/2005
Customer Dispute
Withdrawn
License(s)

State Registrations

B
Arizona 7/10/2012
B
South Dakota 5/30/2023
B
Florida 9/22/2022
B
Texas 6/11/2014
B
Iowa 5/30/2023
IA
Texas 6/18/2014
B
Minnesota 3/9/2012
B
Wisconsin 9/25/2014
IA
Minnesota 12/9/2013
IA
Wisconsin 1/28/2022
B
Montana 5/22/2012

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
401 2nd St N Ste 102, La Crosse, WI 54601
2001 2nd St SW Ste 115, Rochester, MN 55902
Registered with this firm since 12/9/2013
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
401 2nd St N Ste 102, La Crosse, WI 54601
2001 2nd St SW Ste 115, Rochester, MN 55902
Registered with this firm since 3/9/2012
Previous Registration(s)
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IA
 07/22/2011 - 03/02/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) ROCHESTER, MN
B
 07/22/2011 - 03/02/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) ROCHESTER, MN
B
 08/01/2008 - 02/28/2011 COMMONWEALTH FINANCIAL NETWORK (CRD#:8032) ROCHESTER, MN
B
 07/03/2002 - 08/01/2008 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) ROCHESTER, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.