Noreen E. Mccluskey
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.
Noreen Ellen Mccluskey, who also goes by Noreen E Corcoran, was a registered financial professional .
Noreen is a previously registered financial professional and started their career in finance in 1986. Noreen had worked at 14 firms and has passed the Series 66, Series 63, Series 7, Series 24 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
January 27, 2014 - February 14, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
January 24, 2014 - February 14, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
July 19, 2012 - January 2, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 9, 2012 - January 2, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 19, 2010 - August 31, 2010
WADDELL & REED
January 13, 2010 - August 31, 2010
WADDELL & REED
October 9, 2006 - March 7, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - March 7, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 20, 2004 - October 20, 2004
QUICK & REILLY, INC.
October 10, 2001 - August 22, 2002
H.C.WAINWRIGHT & CO., LLC
August 5, 2000 - July 9, 2001
WELLS FARGO CLEARING SERVICES, LLC
September 24, 1999 - August 5, 2000
GLEACHER & COMPANY SECURITIES, INC.
May 14, 1999 - June 23, 1999
LPL FINANCIAL LLC
January 19, 1994 - July 8, 1998
H.C.WAINWRIGHT & CO., LLC
September 22, 1992 - January 1, 1994
GRUNTAL & CO., L.L.C.
January 29, 1990 - September 25, 1992
DICKINSON & CO.
April 24, 1989 - February 21, 1990
J. T. MORAN & CO., INC.
July 29, 1986 - May 12, 1988
NORTH AMERICAN INVESTMENT CORP.
May 22, 1986 - July 22, 1986
ADVEST, 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: 9/18/1997
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.
