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Detailed Report
Daniel R Figueiredo
DANIEL FIGUEIREDO, Dan R Figueiredo, Daniel Ramos Figueiredo
CRD#: 6145145
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 7672 OSWEGO RD
LIVERPOOL, NY 13090
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2019 - 2019 (<1 year)IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2020 - Present (4 years)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2019 - Present (5 years)BAXA ADVISORS, LLC (CRD# 6627)2014 - 2019 (4 years)BAXA ADVISORS, LLC (CRD# 6627)2013 - 2013 (<1 year)IAAXA ADVISORS, LLC (CRD# 6627)2015 - 2019 (4 years)
License(s)

State Registrations

B
Alabama 2/3/2020
B
New Jersey 2/3/2020
B
Arkansas 7/18/2023
B
New Mexico 2/3/2020
B
California 2/3/2020
B
New York 11/12/2019
B
Colorado 2/3/2020
IA
New York 4/16/2021
B
Connecticut 10/26/2022
B
North Carolina 2/3/2020
B
Florida 11/12/2019
B
Ohio 2/4/2020
B
Georgia 2/3/2020
B
Pennsylvania 3/3/2023
B
Hawaii 2/3/2020
B
Rhode Island 2/3/2020
B
Indiana 10/29/2020
B
South Carolina 2/3/2020
B
Kentucky 6/24/2024
B
Tennessee 2/3/2020
B
Maryland 2/3/2020
B
Texas 10/7/2020
B
Massachusetts 2/3/2020
IA
Texas 10/8/2020
B
Michigan 4/5/2023
B
Vermont 2/10/2020
B
Missouri 2/3/2020
B
Virginia 2/3/2020
B
Nevada 2/3/2020
B
Wisconsin 1/3/2025
B
New Hampshire 2/3/2020

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)
7672 OSWEGO RD, LIVERPOOL, NY 13090
Syracuse, NY
Registered with this firm since 10/8/2020
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
7672 OSWEGO RD, LIVERPOOL, NY 13090
Syracuse, NY
Registered with this firm since 11/12/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/06/2019 - 07/16/2019 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) E SYRACUSE, NY
B
 02/28/2019 - 07/16/2019 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) E SYRACUSE, NY
IA
 02/05/2015 - 02/22/2019 AXA ADVISORS, LLC (CRD#:6627) SYRACUSE, NY
B
 10/02/2014 - 02/22/2019 AXA ADVISORS, LLC (CRD#:6627) SYRACUSE, NY
B
 03/25/2013 - 11/26/2013 AXA ADVISORS, LLC (CRD#:6627) SYRACUSE, NY
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.