Individual Firm
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ROGER DEVENEY DAEL
CRD#: 4605632
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 8778 WOLFF CT
STE 101
WESTMINSTER, CO 80031
STE 101
WESTMINSTER, CO 80031
0
Disclosures
20
Years of Experience
View By:
State Registrations
B
Alaska 9/27/2023
B
Nevada 5/7/2018
B
Arizona 1/17/2018
B
New Jersey 5/7/2018
B
California 1/17/2018
B
New Mexico 1/17/2018
IA
California 5/7/2018
B
Ohio 6/8/2018
B
Colorado 1/17/2018
B
Oregon 5/7/2018
IA
Colorado 1/17/2018
B
Pennsylvania 1/17/2018
B
Florida 5/7/2018
B
South Carolina 5/7/2018
B
Georgia 9/14/2023
B
Texas 1/17/2018
B
Idaho 3/13/2018
IA
Texas 1/17/2018
B
Illinois 5/7/2018
B
Utah 9/15/2021
B
Iowa 5/7/2018
B
Virginia 5/7/2018
B
Maryland 1/17/2018
B
Washington 5/7/2018
B
Michigan 9/12/2019
IA
Washington 10/12/2018
B
Missouri 10/18/2018
B
Wisconsin 5/22/2018
B
Nebraska 5/7/2018
B
Wyoming 5/7/2018
SRO Registrations
B
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IA
Registered with this firm since 1/17/2018
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Registered with this firm since 1/17/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/17/2015 - 01/18/2018 | BOULDER, CO | |
B | 09/21/2015 - 01/18/2018 | BOULDER, CO | |
IA | 03/16/2006 - 04/11/2014 | NEW YORK, NY | |
B | 12/01/2005 - 04/11/2014 | BALTIMORE, MD | |
IA | 04/30/2004 - 12/05/2005 | BALTIMORE, MD | |
B | 05/02/2003 - 12/01/2005 | BALTIMORE, MD |
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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.