Thomas D. Gillespie
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.
Thomas Daniel Gillespie, who also goes by Dan Gillespie, T D Gillespie, Thomas Daniel Gillespie, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 10 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2021 - July 1, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
June 9, 2021 - July 1, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
May 2, 2017 - June 25, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
May 2, 2017 - June 25, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
October 21, 2014 - December 22, 2016
PNC WEALTH MANAGEMENT LLC
October 21, 2014 - December 22, 2016
PNC WEALTH MANAGEMENT LLC
March 5, 2012 - October 1, 2013
BB&T INVESTMENT SERVICES, INC.
February 13, 2012 - October 1, 2013
BB&T INVESTMENT SERVICES, INC.
January 6, 2010 - October 5, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 2009 - October 5, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 5, 1997 - January 26, 2009
GUGGENHEIM DISTRIBUTORS, LLC
August 22, 1994 - January 14, 1997
GIT INVESTMENT SERVICES, INC.
February 11, 1991 - July 12, 1994
PEGASUS CAPITAL CORPORATION
September 2, 1988 - February 11, 1991
FIRST UNION CAPITAL MARKETS CORP.
July 14, 1986 - September 14, 1988
CITIGROUP GLOBAL MARKETS INC.
May 3, 1985 - July 17, 1986
CAPITAL EXPANSION GROUP, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
