JS
Jeffry A. Sannes
Some features on this profile are disabled
CRD#: 1054917
JS
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.
Jeffry Alan Sannes, CFP®, who also goes by Jeffry A Sanners, Jeffry Alan Sanners, Jeffry Sanners, Jeff A Sannes, Jeff Alan Sannes, Jeff Sannes, Jeffry A Sannes, Jeffry Sannes, was a registered financial professional .
Jeffry is a previously registered financial professional and started their career in finance in 1982. Jeffry had worked at 9 firms and has passed the Series 63, SIE, Series 62, Series 22 and Series 6 exams.
Question & Answer
What are your service offerings?
Retirement Income Management
Investment Planning
Estate Planning
Retirement Planning
Are you a "fiduciary"?
No
Aliases
Jeffry A Sanners | Jeffry Alan Sanners | Jeffry Sanners | Jeff A Sannes | Jeff Alan Sannes | Jeff Sannes | Jeffry A Sannes | Jeffry Sannes
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) FSC CORPORATION RIA, INVESTMENT RELATED, 716 SHEPARD COURT, GURNEE IL 60031, INVESTMENT ADVISOR, START DATE:01/01/2005, 120 HRS/MTH., 110 HRS. DURING ST HOURS, ADVISORY SERVICES 2) FINANCIAL EDUCATION AND ADMINISTRATIVE SERVICES OF ILLINOIS POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 4 START DATE: 01/01/1982 ADDRESS: 716 Shepard Court, Girmee IL 60031, United States DESCRIPTION: gather client personal and financial information requested by an attorney and fund trusts in cooperation with attorneys. 3) JEFFRY A. SANNES, CFP(R) POSITION: Statutory Agent - NATURE: Sole Proprietorship - INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 01/01/1982 ADDRESS: 716 Shepard Court, Gurnee IL 60031, United States DESCRIPTION: analyze clients' need for each type of insurance, produce appropriate insurance policy proposals, present information to clients to make informed decisions, write insurance policy applications and review policies. 4) NOTARY PUBLIC STATE OF ILLINOIS POSITION: Owner NATURE: Notary Public State of Illinois-Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/19/1987 ADDRESS: 716 Shepard Court, Gurnee IL 60031, United States DESCRIPTION: I notarize documents as a convenience to prospects, clients and the general public as requested. 5) PATHWAYS FINANCIAL GROUP LLC POSITION: Business Owner and Financial Planner and only person in the business.only NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 02/01/2020 ADDRESS: 716 Shepard Court, Gurnee IL 60031, United States DESCRIPTION: As the owner and CRP(r) Financial Planner and only person in this business I do everything to keep it running well.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1986
Experience
Past
November 15, 2024 - March 7, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
DEERFIELD, IL
Past
November 15, 2024 - March 7, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
DEERFIELD, IL
Past
November 3, 2023 - November 21, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
GURNEE, IL
Past
November 3, 2023 - November 21, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
GURNEE, IL
Past
September 3, 2009 - November 3, 2023
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
GURNEE, IL
Past
August 27, 2009 - November 3, 2023
FSC SECURITIES CORPORATION
BD
CRD#: 7461
GURNEE, IL
Past
August 1, 2003 - August 26, 2009
WATERSTONE FINANCIAL GROUP, INC.
RIA
CRD#: 10078
GURNEE, IL
Past
July 21, 2003 - August 26, 2009
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
GURNEE, IL
Past
February 8, 2002 - September 3, 2003
RE-DIRECT SECURITIES CORP
RIA
CRD#: 35518
GURNEE, IL
Past
May 20, 1999 - July 21, 2003
RE-DIRECT SECURITIES CORP
BD
CRD#: 35518
VILLA PARK, IL
Past
May 23, 1990 - May 4, 1999
MARC J. LANE & COMPANY
BD
CRD#: 16188
CHICAGO, IL
Past
July 11, 1989 - May 24, 1990
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
October 11, 1985 - July 17, 1989
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
October 5, 1982 - October 4, 1985
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
CRD#: 6363 / SEC#: 801-28543, 8-16791
RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 1/28/2002
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
CRD#: 6363 / SEC#: 801-28543, 8-16791
RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
9013rd Avenue South, Minneapolis, MN 55402
Mailing Address
5221 Ameriprise Financial Center, Minneapolis, MN 55474
Phone number
(612) 671-3131
Established
Delaware since 06/14/1971
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
14,000
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.
