Mary Ann Corner
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.
Mary Ann Corner, who also goes by Mary Ann Bowie, Mary Ann Wick Bowie, Mary Ann Wicks Bowie, Maryann Bowie, Maryann Corner, Mary Ann Wick, was a registered financial professional .
Mary Ann is a previously registered financial professional and started their career in finance in 1985. Mary Ann had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 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
October 20, 2020 - November 30, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
October 15, 2020 - November 30, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
March 24, 2008 - October 21, 2020
LPL FINANCIAL LLC
March 24, 2008 - October 21, 2020
LPL FINANCIAL LLC
May 29, 2007 - April 3, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - April 3, 2008
CITIGROUP GLOBAL MARKETS INC.
March 23, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 11, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
August 31, 2000 - March 4, 2004
EDWARD JONES
February 2, 1999 - September 5, 2000
WELLS FARGO SECURITIES INC.
June 17, 1998 - September 6, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 26, 1998 - June 17, 1998
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 10, 1997 - June 24, 1998
ACUMENT SECURITIES, INC.
September 30, 1996 - June 30, 1997
INDEPENDENT FINANCIAL SECURITIES, INC.
August 2, 1996 - June 25, 1997
NATCITY INVESTMENTS, INC.
January 29, 1993 - August 27, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 29, 1993 - August 27, 1996
OSAIC FA, INC.
June 28, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
June 28, 1985 - December 11, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
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.
