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Detailed Report
SHARMILA RANI PRATHIPATI
CRD#: 4742830
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 3601 MINNESOTA DR
STE 905
EDINA, MN 55435-5281
Registration History
200420062008201020122014201620182020202220242026IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2012 - Present (12 years)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2004 - Present (20 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)2004 - 2006 (1 year)BH.D. VEST INVESTMENT SERVICES (CRD# 13686)2004 - 2004 (<1 year)IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2007 - 2008 (1 year)
Disclosure(s)
View By:
10/14/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 7/30/2021
B
New Jersey 7/12/2024
B
Arizona 5/31/2024
B
New York 10/7/2019
B
California 3/3/2015
B
North Carolina 7/3/2024
B
Connecticut 3/18/2014
B
Oregon 7/3/2023
B
Florida 1/10/2019
B
Tennessee 7/10/2009
B
Georgia 1/26/2018
B
Texas 5/15/2012
B
Illinois 3/7/2022
IA
Texas 5/18/2012
B
Iowa 5/24/2019
B
Utah 5/30/2024
B
Maryland 9/14/2016
B
Virginia 7/10/2009
B
Massachusetts 7/17/2013
B
Washington 5/9/2013
B
Minnesota 8/3/2004
B
Wisconsin 10/23/2004
IA
Minnesota 11/22/2013

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)
3601 MINNESOTA DR STE 905, EDINA, MN 55435-5281
Shakopee, MN
Registered with this firm since 5/18/2012
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
3601 MINNESOTA DR STE 905, EDINA, MN 55435-5281
Shakopee, MN
Registered with this firm since 8/3/2004
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/05/2007 - 12/31/2008 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) GLEN ALLEN, VA
B
 08/03/2004 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
B
 01/19/2004 - 07/21/2004 H.D. VEST INVESTMENT SERVICES (CRD#:13686) DALLAS, TX
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.