Roger J. Karg
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.
Roger J Karg, who also goes by Roger James Karg, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1984. Roger had worked at 9 firms and has passed the Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2012 - March 4, 2013
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
February 9, 2011 - March 4, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
February 9, 2009 - June 26, 2009
RIVERSOURCE SERVICES, INC.
January 21, 2009 - January 11, 2011
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
November 24, 2006 - March 4, 2013
RIVERSOURCE DISTRIBUTORS, INC.
November 24, 1998 - December 31, 2006
IDS LIFE INSURANCE COMPANY
November 24, 1998 - July 24, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
April 16, 1997 - November 11, 1998
PIPER SANDLER & CO.
December 24, 1986 - April 16, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
May 6, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.
February 27, 1984 - December 31, 1984
EDWARD JONES
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
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
CRD#: 26506 / SEC#: , 8-42582
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| CARR, GREGORY GERARD | DIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT | 2210835 |
| FLANSBURG, BRETT ALLEN | VICE PRESIDENT, AWM COMPLIANCE AND CHIEF COMPLIANCE OFFICER | 3179474 |
| GERDES, JOSEPH FRANCIS | DIRECTOR, CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 2391989 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| SENNE, ANN MARIE | DIRECTOR | 2515669 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
Disclosures
| Regulatory Event | 10 |
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.
