Thomas S. Ensign
Professional summary
Thomas Shannon Ensign was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Thomas had worked at 8 firms, which includes AMERIPRISE FINANCIAL SERVICES LLC, ASSOCIATED PLANNERS INVESTMENT ADVISORY INC, ASSOCIATED SECURITIES CORP., CETERA ADVISORS LLC, VESTAX SECURITIES CORPORATION, OSAIC WEALTH INC., INTEGRATED RESOURCES EQUITY CORPORATION, GREEN HILL FINANCIAL SERVICE CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2008 - September 23, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
January 4, 2008 - September 23, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
April 19, 2006 - January 4, 2008
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
April 18, 2006 - January 4, 2008
ASSOCIATED SECURITIES CORP.
January 1, 2004 - April 20, 2006
CETERA ADVISORS LLC
January 1, 2004 - April 20, 2006
CETERA ADVISORS LLC
December 7, 1999 - January 1, 2004
VESTAX SECURITIES CORPORATION
October 5, 1990 - January 1, 2004
VESTAX SECURITIES CORPORATION
November 19, 1989 - October 8, 1990
OSAIC WEALTH, INC.
August 17, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 20, 1985 - August 31, 1988
GREEN HILL FINANCIAL SERVICE 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.
