Susan P. Jones
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.
Susan Patricia Jones, who also goes by Susan Patricia Colford, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1988. Susan had worked at 12 firms and has passed the Series 66, Series 63, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2007 - August 1, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
June 26, 2006 - April 4, 2007
WOODBURY FINANCIAL SERVICES, INC.
January 27, 2004 - June 13, 2006
PIPER SANDLER & CO.
November 2, 2000 - May 1, 2003
WELLS FARGO INVESTMENTS, LLC
March 30, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
March 29, 2000 - November 2, 2001
WELLS FARGO SECURITIES INC.
March 8, 2000 - April 17, 2000
PIPER SANDLER & CO.
October 15, 1999 - February 24, 2000
RBC CAPITAL MARKETS, LLC
November 12, 1997 - October 13, 1999
JOHN G. KINNARD AND COMPANY, INCORPORATED
February 16, 1993 - November 26, 1997
BREMER INVESTMENT SERVICES, INC.
June 11, 1992 - December 24, 1992
TRUSTED SECURITIES ADVISORS CORP.
June 16, 1989 - April 23, 1992
LEHMAN BROTHERS INC.
March 23, 1988 - March 31, 1989
IRI SECURITIES 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.
