Shelly J. Donovan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Shelly J Donovan, who also goes by Shelly Jean Donovan, Shelly J Toth, Shelly Jean Toth, was a registered financial professional .
Shelly is a previously registered financial professional and started their career in finance in 1981. Shelly had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2020 - August 26, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
July 13, 2020 - January 10, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
November 10, 2014 - July 16, 2020
B. RILEY WEALTH ADVISORS, INC.
November 22, 2013 - July 16, 2020
NATIONAL SECURITIES CORPORATION
December 10, 2010 - May 6, 2014
ASSET & FINANCIAL PLANNING, LTD
June 5, 2009 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
September 25, 2001 - June 16, 2009
CITIGROUP GLOBAL MARKETS INC.
September 12, 2001 - June 16, 2009
CITIGROUP GLOBAL MARKETS INC.
October 20, 1989 - October 3, 2001
MORGAN STANLEY DW INC.
February 25, 1982 - October 18, 1989
PRUDENTIAL EQUITY GROUP, LLC
August 31, 1981 - March 19, 1982
RAYMOND JAMES & ASSOCIATES, INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
AMERIPRISE FINANCIAL SERVICES, LLC
Financial AdvisorCRD#: 6363TRUST BUT VERIFY
Monitor Shelly Donovan
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