Alan H. Blecker
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.
Alan Howard Blecker, CFP® was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1982. Alan had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2010 - April 25, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
January 22, 2010 - April 25, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
January 10, 2005 - February 2, 2010
SII INVESTMENTS, INC.
January 10, 2005 - February 2, 2010
SII INVESTMENTS, INC.
November 28, 2003 - February 7, 2005
VOYA FINANCIAL ADVISORS, INC.
November 28, 2003 - February 7, 2005
VOYA FINANCIAL ADVISORS, INC.
July 29, 2003 - March 23, 2004
ASSET & FINANCIAL PLANNING, LTD
July 29, 2003 - December 15, 2003
PRIME CAPITAL SERVICES, INC.
May 3, 1999 - February 26, 2001
PARK AVENUE SECURITIES LLC
August 8, 1997 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
July 1, 1997 - August 11, 2003
VOYA FINANCIAL ADVISORS, INC.
July 1, 1997 - August 11, 2003
VOYA FINANCIAL ADVISORS, INC.
March 27, 1996 - July 2, 1997
GUARDIAN INVESTOR SERVICES LLC
June 3, 1983 - November 5, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
August 24, 1982 - April 4, 1983
GARY GOLDBERG & CO., 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 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| 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 | ||
| 12/16/2022 |
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.
