Grover D. Ranz
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.
Grover Dale Ranz, CFP®, who also goes by Grover D Ranz, Grover Ranz, was a registered financial professional .
Grover is a previously registered financial professional and started their career in finance in 1985. Grover had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2023 - January 9, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
July 14, 2023 - January 9, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
May 18, 2022 - July 17, 2023
LPL FINANCIAL LLC
May 18, 2022 - July 17, 2023
LPL FINANCIAL LLC
April 6, 2010 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
April 6, 2010 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
January 31, 2005 - April 15, 2010
ONEAMERICA SECURITIES, INC.
January 31, 2005 - April 15, 2010
ONEAMERICA SECURITIES, INC.
January 5, 2005 - February 9, 2005
WFG ADVISORS, LP
January 5, 2005 - February 9, 2005
WFG INVESTMENTS, INC.
July 24, 2002 - December 31, 2004
PRO-INTEGRITY SECURITIES, INC.
July 13, 2001 - December 31, 2004
PRO-INTEGRITY SECURITIES, INC.
April 10, 1992 - July 16, 2001
OSAIC WEALTH, INC.
July 3, 1986 - April 14, 1992
CONSECO FINANCIAL SERVICES, INC.
March 8, 1985 - July 3, 1986
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
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.
