Individual Firm
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DAVID PAUL NEEDHAM
CRD#: 4597148
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 4 ATRIUM DR
STE 200
ALBANY, NY 12205
STE 200
ALBANY, NY 12205
0
Disclosures
22
Years of Experience
View By:
State Registrations
B
California 4/15/2020
B
New York 6/18/2010
B
Colorado 5/31/2022
IA
New York 4/16/2021
B
Connecticut 1/25/2018
B
North Carolina 9/3/2014
B
Florida 7/26/2007
B
Ohio 5/22/2019
B
Georgia 8/24/2017
B
Pennsylvania 4/25/2019
B
Massachusetts 8/24/2017
B
South Carolina 8/24/2017
B
New Hampshire 4/15/2020
B
Vermont 8/17/2021
B
New Jersey 4/15/2020
B
Virginia 4/15/2020
SRO Registrations
B
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IA
Registered with this firm since 4/16/2021
B
Registered with this firm since 7/26/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/16/2006 - 07/23/2007 | ALBANY, NY | |
B | 03/16/2006 - 07/23/2007 | ALBANY, NY | |
IA | 02/14/2003 - 03/16/2006 | ALBANY, NY | |
B | 02/14/2003 - 03/16/2006 | MINNEAPOLIS, MN | |
B | 02/14/2003 - 03/16/2006 | 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.