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Charles Franklin Wada

Charles F. Wada

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CRD#: 1337949
Charles Franklin Wada

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.

Charles Franklin Wada was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1985. Charles had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

What are your service offerings?
Estate Planning Strategies
Retirement Planning Strategies
Small Business
Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Real Estate Ownership; Multi-Family; 2129 vine st. l.a. ca. 90068, , ** not provided **, N/A, 00000; 08/01/2011. Other Business Activities; L.A. Zoo GLAZA; volunteer tour guide; 5300 L.A. Zoo Drive, L.A. Ca. 90027, , ** not provided **, N/A, 00000; 08/01/2017; 10 to 19 during trading hours; 10 to 19 hours per month.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 15, 1997 - January 24, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
GLENDALE, CA
Past

June 6, 1988 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 6, 1988 - January 24, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
GLENDALE, CA
Past

February 29, 1988 - May 5, 1988

TRAFALGAR SECURITIES CORP.

BD
CRD#: 15920
Past

December 8, 1987 - February 17, 1988

AMERICAN CAPITAL CONTRACTUAL SERVICES, INC.

BD
CRD#: 148
Past

June 29, 1987 - December 31, 1987

ADVANTAGE CAPITAL CORPORATION

BD
CRD#: 146
Past

April 30, 1985 - June 11, 1987

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
Past

February 19, 1985 - April 30, 1985

GWF SECURITIES, CORP.

BD
CRD#: 10344

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.

CRD#: 6363 / SEC#: 801-28543, 8-16791

RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/22/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/1986
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/18/1985
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.

CRD#: 6363 / SEC#: 801-28543, 8-16791

RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
9013rd Avenue South, Minneapolis, MN 55402
Mailing Address
5221 Ameriprise Financial Center, Minneapolis, MN 55474
Phone number
(612) 671-3131
Established
Delaware since 06/14/1971
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
14,000

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

AMERIPRISE MANAGED ACCOUNTS (9/26/2025)
AMERIPRISE MANAGED ACCOUNTS AND FINANCIAL PLANNING SERVICE (9/26/2025)
AMERIPRISE PREMIER RETIREMENT INCOME (7/25/2025)
AMERIPRISE FINANCIAL PLANNING SERVICE - LIMITED CONSULTING SERVICES SUPPLEMENT (3/28/2025)
AMERIPRISE FINANCIAL PLANNING SERVICE - DIVORCE FINANCIAL ANALYSIS SUPPLEMENT (3/28/2025)
AMERIPRISE RETIREMENT PLAN CONSULTING SERVICES (3/28/2025)
AMERIPRISE FINANCIAL PLANNING SERVICES - FLEXIBLE SERVICE SUPPLEMENT (3/28/2025)
AMERIPRISE FINANCIAL PLANNING SERVICES (3/28/2025)
AMERIPRISE FINANCIAL PLANNING SERVICE - CONSULTING SERVICE SUPPLEMENT (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
AMPF HOLDING, LLCSHAREHOLDER
DOREN, MITCHELL DAVIDREGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER)2129844
FLEMING, JOSEPH DANIELSENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER2093776
MATTOX, MICHAEL SCOTTVICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER4383501
O'CONNELL, PATRICK HUGHDIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT2246285
SENNE, ANN MARIEEXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS2515669
SWEENEY, JOSEPH EDWARDPRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER4668713
WILLIAMS, WILLIAM JERRYLEXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER1954117

Regulatory assets under management

Total Number of Accounts2,281,153
AUM (Assets Under Management)$ 564,622,896,919

Disclosures

Regulatory Event79
Civil Event1
Arbitration103

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/19/2025
Cover Page
Report
09/23/2024
Cover Page
Report
10/24/2023
Cover Page
Report
12/16/2022
Cover Page
Report

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.

Company Information

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Financial AdvisorCRD#: 6363

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Contact information

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xxxxx@xxxx.xxx

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