Nancy L. Burrows
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.
Nancy Lynn Burrows, who also goes by Nancy L Burrows, Nancy L Miles, Nancy Lynn Miles, Nancy Lynn Burrows Miles, Nancy L Zalon, Nancy Lynn Zalon, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1982. Nancy had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 15, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2019 - June 2, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
January 31, 2019 - June 2, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
July 17, 2013 - November 16, 2017
UBS FINANCIAL SERVICES INC.
July 17, 2013 - November 16, 2017
UBS FINANCIAL SERVICES INC.
December 6, 2010 - August 9, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
August 11, 2010 - August 9, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
September 14, 2009 - September 18, 2009
BMO CAPITAL MARKETS GKST INC.
February 21, 2003 - April 7, 2009
KEEFE, BRUYETTE & WOODS, INC.
June 20, 1996 - March 5, 2003
A. G. EDWARDS & SONS, INC.
June 17, 1993 - August 1, 1994
MORGAN STANLEY DW INC.
February 10, 1992 - June 25, 1993
PRUDENTIAL EQUITY GROUP, LLC
January 24, 1985 - October 30, 1986
CITIGROUP GLOBAL MARKETS INC.
March 10, 1983 - August 1, 1984
CITIGROUP GLOBAL MARKETS INC.
December 21, 1982 - February 22, 1983
LEHMAN BROTHERS 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 15
Date: 6/26/1984
Foreign Currency Options 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.
