Sandra J. Hudgins
Professional summary
Sandra Josephine Hudgins was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sandra Josephine Hudgins, who also goes by Sandra Josephine Cox, Sandra Josephine Smith, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1983. Sandra had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2014 - July 29, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
August 22, 2014 - July 29, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
December 12, 2008 - August 26, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 12, 2008 - August 26, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2007 - December 17, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - December 17, 2008
MORGAN STANLEY & CO. LLC
September 23, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
September 23, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
May 14, 2004 - September 29, 2004
HILLTOP SECURITIES INC.
May 11, 1995 - September 29, 2004
HILLTOP SECURITIES INC.
June 30, 1983 - August 11, 1986
BARRE & COMPANY, INCORPORATED
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.
