Individual Firm
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Gregory L Adams
GREGORY LEE ADAMS
CRD#: 5192556
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 10845 Griffith Peak Dr Ste 690
Las Vegas, NV 89135
Las Vegas, NV 89135
View By:
3/24/2022
Customer Dispute
Denied
State Registrations
B
Alaska 1/7/2022
B
Missouri 1/7/2022
B
Arizona 1/7/2022
B
Nevada 1/7/2022
B
California 1/7/2022
IA
Nevada 1/20/2022
B
Colorado 1/7/2022
B
Oklahoma 1/7/2022
B
Florida 1/7/2022
B
Oregon 1/7/2022
B
Georgia 1/7/2022
B
Pennsylvania 3/18/2024
B
Illinois 5/15/2023
B
South Carolina 1/7/2022
B
Indiana 1/7/2022
B
Texas 1/7/2022
B
Kansas 1/7/2022
IA
Texas 1/7/2022
B
Massachusetts 1/7/2022
B
Utah 1/7/2022
B
Michigan 1/7/2022
B
Virginia 1/7/2022
B
Minnesota 1/7/2022
B
Washington 1/7/2022
SRO Registrations
B
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IA
Registered with this firm since 1/7/2022
B
Registered with this firm since 1/7/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/22/2015 - 01/10/2022 | LAS VEGAS, NV | |
B | 06/17/2015 - 01/10/2022 | LAS VEGAS, NV | |
IA | 11/08/2007 - 12/03/2008 | MODESTO, CA | |
B | 09/12/2006 - 12/03/2008 | MODESTO, CA |
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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.