Daniel R. Mcmahon
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.
Daniel Ross Mcmahon, who also goes by Dan Mcmahon, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1984. Daniel had worked at 13 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
September 21, 2011 - August 25, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
September 21, 2011 - March 23, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
November 20, 2002 - September 22, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
September 16, 2002 - September 22, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
May 7, 2001 - September 25, 2002
INVEST FINANCIAL CORPORATION
April 20, 2001 - September 25, 2002
INVEST FINANCIAL CORPORATION
January 1, 1998 - May 7, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 13, 1997 - January 1, 1998
NATIONSSECURITIES
September 3, 1996 - August 13, 1997
BOATMEN'S INVESTMENT SERVICES, INC.
March 19, 1996 - September 3, 1996
BANC IV INVESTMENTS, INC.
May 4, 1995 - March 6, 1996
COMMERCE BROKERAGE SERVICES, INC.
August 29, 1991 - May 4, 1995
CETERA INVESTMENT SERVICES LLC
July 16, 1991 - September 11, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 16, 1991 - September 11, 1991
SIGNATOR INVESTORS, INC.
March 22, 1988 - August 17, 1988
MARKETING ONE SECURITIES, INC.
March 22, 1984 - March 29, 1988
MUTUAL OF OMAHA INVESTOR 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.
