Delores A. Martini
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.
Delores Ann Martini, who also goes by Delores Ann Leite, was a registered financial professional .
Delores is a previously registered financial professional and started their career in finance in 1985. Delores had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2013 - July 27, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
May 17, 2013 - July 27, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
July 18, 2011 - May 21, 2013
INDEPENDENT FINANCIAL PARTNERS
July 14, 2011 - May 30, 2013
LPL FINANCIAL LLC
June 24, 2011 - July 14, 2011
THE RETIREMENT GROUP, LLC
June 24, 2011 - July 20, 2011
FSC SECURITIES CORPORATION
April 30, 2007 - June 27, 2011
SECURITIES AMERICA ADVISORS, INC.
April 25, 2007 - June 27, 2011
SECURITIES AMERICA, INC.
April 28, 2006 - April 25, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 28, 2006 - April 25, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 8, 1997 - May 8, 2006
MORGAN STANLEY DW INC.
July 8, 1986 - May 8, 2006
MORGAN STANLEY DW INC.
June 19, 1985 - July 25, 1986
E. F. HUTTON & COMPANY 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
Series 8
Date: 1/30/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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.
