Ronald L. Ziegler
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.
Ronald Louis Ziegler, who also goes by Ron Ziegler, Ronald L Ziegler, Ronald Lewis Ziegler, was a registered financial advisor .
Ronald is a previously registered financial advisor and started their career in finance in 1986. Ronald had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6, 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
October 5, 2009 - November 9, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - November 9, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
November 27, 2006 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
January 15, 2002 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
March 22, 1999 - January 24, 2002
BIRCHTREE FINANCIAL SERVICES LLC
February 19, 1998 - February 23, 1999
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 30, 1993 - February 20, 1998
CHARLES SCHWAB & CO., INC.
November 19, 1991 - March 18, 1993
FIDELITY BROKERAGE SERVICES LLC
July 14, 1988 - September 16, 1991
TITAN/VALUE EQUITIES GROUP, INC.
April 15, 1987 - April 26, 1988
FSC SECURITIES CORPORATION
July 23, 1986 - May 19, 1987
PRUCO SECURITIES, 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
Series 8
Date: 5/19/1994
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 |
| 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 |
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.
