Hugo E. Giargiari
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.
Hugo Ernani Giargiari JR was a registered financial professional .
Hugo is a previously registered financial professional and started their career in finance in 1981. Hugo had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2012 - November 14, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
February 28, 2011 - September 6, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 5, 2010 - September 6, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 31, 2005 - November 5, 2010
INVESTORS CAPITAL CORP.
March 9, 2001 - March 4, 2005
EASTERN POINT ADVISORS INC.
February 5, 2001 - November 5, 2010
INVESTORS CAPITAL CORP.
May 14, 1999 - March 13, 2001
VERAVEST INVESTMENTS, INC.
April 14, 1994 - March 3, 2005
BTS ASSET MANAGEMENT, INC.
November 19, 1989 - May 12, 1999
OSAIC WEALTH, INC.
August 14, 1984 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
October 27, 1982 - September 11, 1984
BOSTON BAY CAPITAL, INC.
August 27, 1981 - December 2, 1981
BURBANK & COMPANY, 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.
