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Detailed Report
KAREN GOERSCH
KAREN SPINNLER
CRD#: 5078046
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 10 Wright St
Fl 1st
Westport, CT 06880-3115
Registration History
2010201220142016201820202022202420262 FIRMS2011 - 2014 (2 years)2 FIRMS2014 - Present (11 years)BSECURITIES AMERICA, INC. (CRD# 10205)2009 - 2011 (2 years)IASECURITIES AMERICA ADVISORS, INC. (CRD# 110518)2011 - 2011 (<1 year)
License(s)

State Registrations

B
California 3/11/2021
B
New Jersey 2/5/2020
B
Connecticut 3/24/2014
B
New York 3/24/2014
IA
Connecticut 3/24/2014
B
Oregon 11/12/2021
B
Florida 6/28/2019
B
Rhode Island 3/29/2016
B
Illinois 11/10/2020
B
South Carolina 10/28/2016
B
Maine 1/5/2024
B
Texas 1/10/2024
B
Massachusetts 3/24/2014
IA
Texas 1/10/2024
B
Michigan 5/9/2024
B
Virgin Islands 10/1/2021
B
Minnesota 8/31/2020
B
Virginia 3/9/2022
B
New Hampshire 11/16/2018
B
Wyoming 12/5/2024

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)
10 Wright St Fl 1st, Westport, CT 06880-3115
ROWAYTON, CT
Registered with this firm since 3/24/2014
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
10 Wright St Fl 1st, Westport, CT 06880-3115
ROWAYTON, CT
Registered with this firm since 3/24/2014
Previous Registration(s)
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B
 06/01/2011 - 04/07/2014 LPL FINANCIAL LLC (CRD#:6413) WILTON, CT
IA
 06/02/2011 - 03/25/2014 PRIVATE ADVISOR GROUP, LLC (CRD#:155216) MORRISTOWN, NJ
IA
 02/08/2011 - 06/02/2011 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) WILTON, CT
B
 04/03/2009 - 06/02/2011 SECURITIES AMERICA, INC. (CRD#:10205) WILTON, 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.