Maureen Walsh
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.
Maureen Walsh, CFP®, who also goes by Maureen Walsh-moberg, was a registered financial professional .
Maureen is a previously registered financial professional and started their career in finance in 1983. Maureen had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 53 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
Start date: 1990
Experience
May 2, 2014 - July 16, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
March 20, 2012 - July 16, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
December 8, 2010 - February 24, 2011
ALTERNATIVE WEALTH STRATEGIES, INC.
December 4, 2006 - August 18, 2009
SOUND TRUST WEALTH ADVISORS, LLC
May 19, 2006 - December 26, 2008
FSC SECURITIES CORPORATION
May 19, 2006 - December 26, 2008
FSC SECURITIES CORPORATION
April 20, 2005 - May 19, 2006
GREENWICH GLOBAL, LLC
January 12, 2005 - May 19, 2006
SOUND FINANCIAL ADVISORS
April 30, 1997 - May 21, 2004
OSAIC WEALTH, INC.
September 18, 1996 - October 21, 1996
CHASE INVESTMENT SERVICES CORP.
September 19, 1994 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
November 9, 1992 - September 19, 1994
J.P. MORGAN SECURITIES INC.
November 19, 1989 - November 12, 1992
OSAIC WEALTH, INC.
December 14, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 21, 1987 - January 13, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 21, 1987 - January 14, 1988
EQUITABLE ADVISORS, LLC
August 23, 1983 - July 6, 1984
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
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.
