Jerome J. Senegal
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.
Jerome John Senegal, who also goes by Jerome Senegal, was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1985. Jerome had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2021 - May 5, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2021 - May 5, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
September 1, 2021 - October 5, 2021
ALLSTATE FINANCIAL SERVICES, LLC
August 31, 2021 - October 5, 2021
ALLSTATE FINANCIAL ADVISORS, LLC
June 16, 2016 - August 24, 2021
MORGAN STANLEY
June 16, 2016 - August 24, 2021
MORGAN STANLEY
October 1, 2012 - May 20, 2016
J.P. MORGAN SECURITIES LLC
October 1, 2012 - May 20, 2016
J.P. MORGAN SECURITIES LLC
January 25, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 21, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 3, 2001 - October 9, 2006
MORGAN STANLEY DW INC.
December 3, 2001 - October 9, 2006
MORGAN STANLEY DW INC.
August 1, 1990 - January 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 21, 1989 - August 9, 1990
PRUDENTIAL EQUITY GROUP, LLC
January 11, 1986 - August 8, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 1985 - December 16, 1985
J.V. ACE & COMPANY, 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 8
Date: 1/9/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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.
