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Detailed Report
THOMAS EDWARD STRICKER
CRD#: 4860517
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 340 W 5th St
Dubuque, IA 52001
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2014 - 2019 (5 years)2 FIRMS2019 - Present (5 years)BU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2005 - 2014 (8 years)BPRUDENTIAL RETIREMENT BROKERAG... (CRD# 40596)2004 - 2005 (<1 year)IAU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2006 - 2014 (8 years)
License(s)

State Registrations

B
Alabama 7/30/2019
B
Louisiana 4/14/2020
B
Arizona 7/2/2019
B
Minnesota 6/23/2020
B
Arkansas 7/2/2019
B
Missouri 7/10/2020
B
California 3/2/2021
B
New York 11/14/2019
B
Colorado 5/7/2021
B
Oklahoma 7/9/2021
B
Florida 5/14/2021
B
Texas 2/18/2021
B
Idaho 7/9/2021
IA
Texas 2/18/2021
B
Illinois 6/4/2019
B
Virginia 7/9/2021
B
Iowa 6/4/2019
B
Washington 1/29/2020
IA
Iowa 6/4/2019
B
Wisconsin 6/4/2019
B
Kansas 7/9/2021

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)
340 W 5th St, Dubuque, IA 52001
Dubuque, IA
Registered with this firm since 6/4/2019
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
340 W 5th St, Dubuque, IA 52001
Dubuque, IA
Registered with this firm since 6/4/2019
Previous Registration(s)
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IA
 03/19/2014 - 06/12/2019 LPL FINANCIAL LLC (CRD#:6413) DUBUQUE, IA
B
 03/19/2014 - 06/12/2019 LPL FINANCIAL LLC (CRD#:6413) DUBUQUE, IA
IA
 01/03/2006 - 01/22/2014 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) DUBUQUE, IA
B
 02/18/2005 - 01/22/2014 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) DUBUQUE, IA
B
 10/29/2004 - 03/04/2005 PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC. (CRD#:40596) HARTFORD, CT
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.