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Detailed Report
Olivia Louise Brough
CRD#: 6472591
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 6515 Longshore Loop Ste 400
DUBLIN, OH 43017-2915
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2021 - Present (4 years)BWELLS FARGO ADVISORS FINANCIAL... (CRD# 11025)2015 - 2021 (5 years)IAWELLS FARGO ADVISORS FINANCIAL... (CRD# 11025)2016 - 2021 (4 years)
License(s)

State Registrations

B
Alabama 8/12/2022
B
New Mexico 8/12/2022
B
Arizona 8/12/2022
B
New York 8/12/2022
B
Colorado 8/12/2022
B
North Carolina 8/12/2022
B
Florida 8/12/2022
B
Ohio 1/18/2021
B
Georgia 8/12/2022
IA
Ohio 1/18/2021
B
Illinois 8/12/2022
B
Pennsylvania 8/12/2022
B
Indiana 8/12/2022
B
South Carolina 8/12/2022
B
Iowa 8/12/2022
B
Tennessee 8/12/2022
B
Kentucky 8/12/2022
B
Texas 8/12/2022
B
Maryland 8/12/2022
IA
Texas 8/12/2022
B
Massachusetts 8/12/2022
B
Virginia 8/12/2022
B
Michigan 8/12/2022
B
Washington 8/12/2022
B
Minnesota 8/12/2022
B
West Virginia 8/12/2022

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)
6515 Longshore Loop Ste 400, DUBLIN, OH 43017-2915
Powell, OH
Registered with this firm since 1/18/2021
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
6515 Longshore Loop Ste 400, DUBLIN, OH 43017-2915
Powell, OH
Registered with this firm since 1/18/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/14/2016 - 01/21/2021 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) DUBLIN, OH
B
 04/28/2015 - 01/21/2021 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) DUBLIN, OH
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.