Bryan R. Barrer
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.
Bryan Ray Barrer was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 1983. Bryan had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 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
December 9, 2013 - January 10, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
April 27, 2012 - January 10, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
August 17, 2009 - April 30, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 6, 2009 - April 30, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 23, 2006 - August 7, 2009
INVEST FINANCIAL CORPORATION
October 20, 1995 - August 7, 2009
INVEST FINANCIAL CORPORATION
May 15, 1995 - September 29, 1995
WELLS FARGO BROKERAGE SERVICES, L.L.C.
February 24, 1995 - May 13, 1995
U.S. BANCORP INVESTMENTS, INC.
August 9, 1993 - May 25, 1995
IFMG SECURITIES, INC.
July 31, 1992 - August 23, 1993
INVESTMENT CENTERS OF AMERICA, INC.
November 19, 1989 - July 27, 1992
OSAIC WEALTH, INC.
June 9, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 28, 1983 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
November 28, 1983 - June 20, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
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.
