Raymond J. Chmielewski
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.
Raymond Joseph Chmielewski, who also goes by Ray Chmielewski, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1982. Raymond had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9, Series 14, Series 53, Series 8, Series 24, Series 4 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2009 - January 3, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - January 3, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
August 14, 2006 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
March 14, 2006 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
February 9, 2004 - June 23, 2005
NATCITY INVESTMENTS, INC.
January 31, 2000 - April 24, 2002
COMERICA SECURITIES
February 1, 1999 - January 24, 2000
BANC ONE SECURITIES CORPORATION
March 1, 1996 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
June 10, 1992 - March 1, 1996
NBD SECURITIES, INC.
April 23, 1992 - June 5, 1992
TD AMERITRADE, INC.
December 17, 1985 - December 3, 1991
AMERIPRISE ADVISOR SERVICES, INC.
February 2, 1982 - September 11, 1985
FORESTERS FINANCIAL SERVICES, 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 8
Date: 11/20/1989
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 |
| 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.
