Mindy K. Devane
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.
Mindy Klein Devane, who also goes by Mindy Gail Klein, Mindy Gail Kleindevane, was a registered financial professional .
Mindy is a previously registered financial professional and started their career in finance in 1986. Mindy had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2015 - November 6, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
January 2, 2015 - November 6, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
February 7, 2003 - December 31, 2014
VSR FINANCIAL SERVICES, INC.
February 5, 2002 - February 7, 2003
THE MASTERS, INC.
January 3, 2002 - December 31, 2014
VSR FINANCIAL SERVICES, INC.
December 3, 1999 - January 18, 2002
WELLS FARGO CLEARING SERVICES, LLC
July 26, 1996 - December 11, 1999
RAYMOND JAMES & ASSOCIATES, INC.
December 3, 1993 - August 7, 1996
JOSEPHTHAL & CO., INC.
January 25, 1993 - December 16, 1993
GLOBAL CAPITAL SECURITIES CORPORATION
March 11, 1992 - January 25, 1993
KOBER FINANCIAL CORP.
May 22, 1989 - February 9, 1990
CITIGROUP GLOBAL MARKETS INC.
September 21, 1988 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
July 23, 1986 - September 12, 1988
THOMSON MCKINNON SECURITIES 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
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.
