Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
LAUREN E. SILVA
LAUREN ELIZABETH SILVA, LAUREN SILVA
CRD#: 4771664
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 1001 S. Macdill Ave., Ste. 700
Tampa, FL 33629-5250
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2021 (17 years)2 FIRMS2021 - 2023 (1 year)2 FIRMS2023 - Present (2 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)2004 - 2006 (2 years)
Disclosure(s)
View By:
3/28/2011
Customer Dispute
Denied
10/6/2010
Customer Dispute
Denied
2/22/2006
Criminal
Final Disposition
License(s)

State Registrations

B
California 1/13/2023
B
Ohio 1/13/2023
B
Florida 1/13/2023
B
Pennsylvania 1/13/2023
IA
Florida 1/20/2023
B
Rhode Island 2/20/2024
B
Hawaii 11/14/2024
IA
Rhode Island 8/7/2024
B
Indiana 1/24/2023
B
Tennessee 1/13/2023
B
Massachusetts 1/17/2023
B
Texas 1/13/2023
B
Missouri 1/13/2023
IA
Texas 1/13/2023
B
New Jersey 1/13/2023
B
Virginia 1/13/2023
B
New York 10/24/2024
B
West Virginia 1/13/2023
B
North Carolina 1/13/2023
B
Wisconsin 11/10/2023

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)
1001 S. Macdill Ave., Ste. 700, Tampa, FL 33629-5250
Tampa, FL
Registered with this firm since 1/13/2023
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
1001 S. Macdill Ave., Ste. 700, Tampa, FL 33629-5250
Tampa, FL
Registered with this firm since 1/13/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/06/2021 - 01/31/2023 LPL FINANCIAL LLC (CRD#:6413) TAMPA, FL
B
 09/27/2021 - 01/31/2023 LPL FINANCIAL LLC (CRD#:6413) TAMPA, FL
IA
 09/22/2004 - 09/29/2021 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Tampa, FL
B
 04/09/2004 - 09/29/2021 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Tampa, FL
B
 04/09/2004 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, 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.