Jeffry A. Sannes
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1986
Experience
November 15, 2024 - March 7, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
November 15, 2024 - March 7, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
November 3, 2023 - November 21, 2024
OSAIC WEALTH, INC.
November 3, 2023 - November 21, 2024
OSAIC WEALTH, INC.
September 3, 2009 - November 3, 2023
FSC SECURITIES CORPORATION
August 27, 2009 - November 3, 2023
FSC SECURITIES CORPORATION
August 1, 2003 - August 26, 2009
WATERSTONE FINANCIAL GROUP, INC.
July 21, 2003 - August 26, 2009
WATERSTONE FINANCIAL GROUP, INC.
February 8, 2002 - September 3, 2003
RE-DIRECT SECURITIES CORP
May 20, 1999 - July 21, 2003
RE-DIRECT SECURITIES CORP
May 23, 1990 - May 4, 1999
MARC J. LANE & COMPANY
July 11, 1989 - May 24, 1990
MUTUAL SERVICE CORPORATION
October 11, 1985 - July 17, 1989
OSAIC FS, INC.
October 5, 1982 - October 4, 1985
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 62
Date: 1/28/2002
Corporate Securities Limited 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 |
| 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.
