Thomas E. Barker
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.
Thomas Eugene Barker was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2012 - June 16, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
March 9, 2012 - June 16, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
May 12, 2009 - August 18, 2010
MML INVESTORS SERVICES, LLC
February 14, 2008 - April 19, 2013
TSA MANAGEMENT INC
November 8, 2007 - December 1, 2008
HALLIDAY FINANCIAL, LLC
June 5, 2006 - February 22, 2007
KEYBANC CAPITAL MARKETS INC.
June 1, 2006 - March 19, 2007
KEYBANC CAPITAL MARKETS INC.
March 4, 2003 - June 22, 2006
UBS FINANCIAL SERVICES INC.
July 14, 1998 - March 7, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 5, 1993 - March 7, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 13, 1992 - October 13, 1993
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
February 22, 1991 - January 7, 1992
GEODYNE SECURITIES, INC.
October 9, 1989 - May 7, 1991
PEGASUS SECURITIES CORPORATION
June 30, 1987 - October 15, 1988
PSI SECURITIES CORPORATION
February 25, 1985 - April 25, 1987
JMB SECURITIES CORPORATION
January 19, 1983 - April 26, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Series 15
Date: 3/29/1995
Foreign Currency Options ExaminationSeries 5
Date: 3/2/1983
Interest Rate Options ExaminationSeries 8
Date: 3/1/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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.
