Donald A. Poulin
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.
Donald Alphonse Poulin was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1984. Donald had worked at 10 firms and has passed the Series 63, SIE 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
June 17, 2024 - October 13, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
June 17, 2024 - October 13, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
September 3, 2019 - June 24, 2024
LPL FINANCIAL LLC
August 23, 2019 - June 24, 2024
LPL FINANCIAL LLC
October 3, 2016 - August 23, 2019
CETERA ADVISORS LLC
October 3, 2016 - August 23, 2019
CETERA ADVISORS LLC
June 16, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
July 9, 2002 - June 16, 2005
EASTERN POINT ADVISORS INC.
January 18, 1993 - October 3, 2016
INVESTORS CAPITAL CORP.
August 13, 1990 - December 31, 1992
VOYA FINANCIAL ADVISORS, INC.
August 22, 1989 - June 14, 1990
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
December 23, 1986 - July 14, 1989
NLBS ADVISERS, INC.
June 4, 1985 - December 4, 1986
INVESTACORP, INC.
August 30, 1984 - June 27, 1985
INVESTORS BROKERAGE 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.
