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Detailed Report
MARION ENGELKE WAGNER
MARION E ENGELKE, MARION ELIZABETH ENGELKE, MARION ENGELKE, MARION E WAGNER, MARION WAGNER
CRD#: 6449132
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 17 Keller St
Petaluma, CA 94952
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - 2022 (7 years)2 FIRMS2024 - Present (1 year)
License(s)

State Registrations

B
Arizona 6/26/2024
B
California 6/26/2024
IA
California 3/5/2024
B
Washington 6/26/2024

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)
17 Keller St, Petaluma, CA 94952
Registered with this firm since 3/5/2024
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
17 Keller St, Petaluma, CA 94952
Registered with this firm since 6/26/2024
Previous Registration(s)
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IA
 05/07/2015 - 07/12/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) PETALUMA, CA
B
 04/15/2015 - 07/12/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) PETALUMA, CA
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.