Mark G. Allbaugh
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.
Mark Gregory Allbaugh was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 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
September 1, 2015 - September 24, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
August 14, 2015 - September 24, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
September 23, 2005 - August 14, 2015
JHS CAPITAL ADVISORS, LLC
November 20, 2000 - September 23, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
June 12, 1998 - November 20, 2000
JOSEPH CHARLES & ASSOC., INC.
July 15, 1992 - May 19, 1998
BARBER & BRONSON INCORPORATED
February 1, 1991 - July 1, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 7, 1990 - February 21, 1991
JOSEPHTHAL & CO., INC.
January 29, 1990 - May 11, 1990
G. K. SCOTT & CO., INC.
January 24, 1990 - February 5, 1990
THE STUART-JAMES COMPANY, INCORPORATED
November 23, 1988 - February 13, 1990
J. T. MORAN & CO., INC.
January 4, 1988 - December 13, 1988
GREENTREE SECURITIES CORP.
June 11, 1985 - February 3, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.
January 23, 1985 - June 12, 1985
CITIWIDE SECURITIES CORP.
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.
