Thomas E. Wilkinson
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.
Thomas Earl Wilkinson III, CFA was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 16 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 22, Series 6, Series 53, Series 4 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
November 27, 2023 - June 7, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
October 22, 2015 - November 28, 2023
LASALLE ST SECURITIES, L.L.C.
March 27, 2002 - October 23, 2015
J.P. TURNER & COMPANY, L.L.C.
January 25, 1993 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
November 2, 1990 - January 25, 1993
KOBER FINANCIAL CORP.
May 17, 1990 - October 29, 1990
ROYCE PARK INVESTMENTS, INC.
April 18, 1990 - May 17, 1990
NATIONAL SECURITIES CORPORATION
December 19, 1989 - April 26, 1990
THE OXFORD GROUP, INC.
February 8, 1989 - January 1, 1990
FIRST AMERICAN BILTMORE SECURITIES, INC.
May 9, 1988 - February 7, 1989
FIRM ONE SECURITIES, INCORPORATED
July 10, 1986 - March 2, 1988
PRINCETON AMERICAN EQUITIES CORPORATION
September 10, 1985 - July 21, 1986
SECURITIES NETWORK, INC.
March 7, 1985 - September 17, 1985
LAWSON FINANCIAL CORPORATION
February 22, 1984 - April 26, 1985
FIRST AFFILIATED SECURITIES, INC.
August 16, 1983 - February 21, 1984
DOMIK CORP.
December 18, 1981 - May 14, 1984
SIGNATOR INVESTORS, 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
