Steven T. Faticone
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.
Steven Thomas Faticone was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 13 firms and has passed the Series 66, 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 6, 2023 - January 7, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
June 23, 2023 - January 7, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
February 24, 2011 - June 23, 2023
CENTAURUS FINANCIAL, INC.
February 24, 2011 - June 23, 2023
CENTAURUS FINANCIAL, INC.
June 27, 2007 - February 11, 2011
QA3 FINANCIAL LLC
June 27, 2007 - February 11, 2011
QA3 FINANCIAL CORP.
September 27, 2006 - June 26, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
October 27, 2005 - June 26, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
July 5, 2005 - November 17, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 23, 2003 - November 17, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 23, 1997 - January 16, 2003
PACIFIC SELECT DISTRIBUTORS, LLC
June 25, 1996 - September 17, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
February 2, 1996 - June 13, 1996
DAIN RAUSCHER INCORPORATED
November 27, 1995 - June 20, 1996
DIRECTED SERVICES LLC
October 4, 1995 - June 20, 1996
DIRECTED SERVICES LLC
June 25, 1992 - March 29, 1994
BNY MELLON SECURITIES CORPORATION
March 31, 1988 - June 30, 1992
TRANSAMERICA CAPITAL, LLC
April 14, 1986 - February 16, 1988
COREBRIDGE CAPITAL SERVICES, INC.
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.
Company Information
AMERIPRISE FINANCIAL SERVICES, LLC
Financial AdvisorCRD#: 6363TRUST BUT VERIFY
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