Donald E. Froude
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.
Donald E Froude, who also goes by Donald Edmund Froude, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1981. Donald had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 15, Series 3, Series 7, Series 51, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2014 - May 17, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
December 18, 2008 - January 29, 2010
AMERIPRISE ADVISOR SERVICES, INC.
October 9, 2008 - May 17, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
October 30, 2006 - September 2, 2008
CLEARBRIDGE INVESTMENTS, LLC
October 27, 2006 - September 2, 2008
FRANKLIN DISTRIBUTORS, LLC
May 2, 2005 - October 25, 2006
BOFA ADVISORS, LLC
March 18, 2004 - April 4, 2005
COLUMBIA MANAGEMENT ADVISORS, INC.
March 18, 2004 - October 25, 2006
BOFA DISTRIBUTORS, INC.
November 25, 2002 - March 17, 2004
QUICK & REILLY, INC.
June 27, 2000 - April 30, 2001
BANKBOSTON INVESTOR SERVICES, INC.
June 27, 2000 - December 6, 2001
FLEET ENTERPRISES, INC.
June 27, 2000 - October 25, 2002
FIS SECURITIES, INC.
June 16, 2000 - June 26, 2000
FLEET ENTERPRISES, INC.
June 16, 2000 - June 26, 2000
FIS SECURITIES, INC.
June 16, 2000 - June 26, 2000
BANKBOSTON INVESTOR SERVICES, INC.
June 15, 2000 - March 17, 2004
QUICK & REILLY, INC.
September 1, 1997 - March 16, 2000
DB ALEX. BROWN LLC
April 12, 1990 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
August 18, 1981 - April 24, 1990
PRUDENTIAL EQUITY GROUP, LLC
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
Series 5
Date: 6/8/1988
Interest Rate Options ExaminationSeries 15
Date: 4/29/1988
Foreign Currency Options ExaminationSeries 8
Date: 7/2/1985
General Securities Sales Supervisor Examination (Options Module & General Module)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.
