Individual Firm
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ABRAHAM CECENA
CRD#: 6740244
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 300 Executive Dr Ste 350
West Orange, NJ 07052
West Orange, NJ 07052
0
Disclosures
7
Years of Experience
View By:
State Registrations
B
Arizona 3/25/2024
B
Nevada 3/25/2024
B
California 2/1/2022
B
New Jersey 4/28/2023
IA
California 2/2/2022
IA
New Jersey 4/28/2023
B
Colorado 3/25/2024
B
North Carolina 3/25/2024
B
Georgia 3/25/2024
B
Oregon 3/25/2024
B
Idaho 3/4/2024
B
Pennsylvania 2/1/2022
IA
Idaho 3/4/2024
B
Texas 1/6/2023
B
Illinois 3/25/2024
IA
Texas 1/9/2023
B
Louisiana 3/25/2024
B
Utah 3/25/2024
B
Michigan 3/25/2024
B
Washington 3/25/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 2/2/2022
B
Registered with this firm since 2/1/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/08/2020 - 01/31/2022 | San Diego, CA | |
B | 07/06/2020 - 01/31/2022 | CHULA VISTA, CA | |
IA | 02/07/2019 - 07/13/2020 | SAN DIEGO, CA | |
B | 01/09/2019 - 07/13/2020 | SAN DIEGO, CA | |
IA | 05/03/2017 - 12/14/2018 | SAN DIEGO, CA | |
B | 03/20/2017 - 12/14/2018 | SAN DIEGO, CA |
For additional information about investment advisers or broker-dealers, please visit
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.