Gabriel R. Kendziora
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.
Gabriel Roman Kendziora, who also goes by Gabe Kendziora, was a registered financial professional .
Gabriel is a previously registered financial professional and started their career in finance in 1982. Gabriel had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 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 21, 2016 - April 7, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
November 18, 2016 - April 3, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
May 26, 2009 - November 22, 2016
WEDBUSH SECURITIES INC.
May 26, 2009 - November 22, 2016
WEDBUSH SECURITIES INC.
April 17, 2000 - March 19, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 2, 1999 - March 19, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 1997 - March 10, 1998
U.S. BANCORP INVESTMENTS, INC.
December 5, 1995 - September 3, 1997
U.S. BANCORP SECURITIES
February 9, 1995 - August 25, 1995
ALLSTATE FINANCIAL SERVICES, LLC
January 14, 1993 - January 23, 1995
U.S. BANCORP SECURITIES
January 17, 1991 - January 13, 1993
ESSEX NATIONAL SECURITIES, LLC
March 28, 1990 - January 14, 1991
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
October 18, 1988 - April 4, 1990
ASSOCIATED SECURITIES CORP.
January 27, 1987 - October 20, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
September 13, 1983 - February 6, 1987
SENTRA SECURITIES CORPORATION
November 24, 1982 - October 14, 1983
LPL FINANCIAL LLC
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.
