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Detailed Report
DAVID ROBERTO ESCALANTE
CRD#: 5765859
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 242 S DE LACEY AVE
PASADENA, CA 91105-2006
Registration History
20132014201520162017201820192020202120222023202420252026IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2014 - Present (10 years)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2013 - Present (11 years)
License(s)

State Registrations

B
Arizona 5/22/2018
B
Oregon 8/19/2021
B
California 4/9/2014
B
Tennessee 8/3/2021
IA
California 9/5/2014
IA
Tennessee 4/19/2022
B
Colorado 3/7/2015
B
Texas 1/25/2022
B
Idaho 3/16/2022
IA
Texas 1/26/2022
B
Nevada 7/30/2018
B
Washington 4/4/2018
B
North Carolina 7/6/2020

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)
242 S DE LACEY AVE, PASADENA, CA 91105-2006
Fairview, TN
Registered with this firm since 9/5/2014
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
242 S DE LACEY AVE, PASADENA, CA 91105-2006
Fairview, TN
Registered with this firm since 11/20/2013
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.