Philip M. Pinkert
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.
Philip Marks Pinkert, who also goes by Philip Marks Pikert, Phillip Marks Pinkert, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1984. Philip had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2016 - July 21, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
April 12, 2016 - July 21, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
May 3, 2014 - May 23, 2014
EQUITABLE ADVISORS, LLC
April 28, 2014 - May 23, 2014
EQUITABLE ADVISORS, LLC
April 26, 2012 - June 11, 2012
MSI FINANCIAL SERVICES, INC.
April 9, 2012 - June 11, 2012
MSI FINANCIAL SERVICES, INC.
November 17, 1999 - November 12, 2010
CHARLES SCHWAB & CO., INC.
July 27, 1999 - November 12, 2010
CHARLES SCHWAB & CO., INC.
September 17, 1998 - July 29, 1999
CHASE INVESTMENT SERVICES CORP.
February 12, 1996 - April 1, 1997
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 7, 1992 - February 5, 1996
AUERBACH, POLLAK & RICHARDSON INC.
May 25, 1990 - July 20, 1992
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 1, 1986 - May 25, 1990
THE STUART-JAMES COMPANY, INCORPORATED
April 2, 1985 - April 4, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
May 1, 1984 - March 25, 1985
FIRST JERSEY SECURITIES, 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.
