Craig J. Bayes
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.
Craig Joseph Bayes was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1972. Craig had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 5, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2018 - March 28, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
November 13, 2018 - March 28, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
February 26, 1999 - November 29, 2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 14, 1995 - November 29, 2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 12, 1993 - June 28, 1995
UBS FINANCIAL SERVICES INC.
July 25, 1984 - December 10, 1992
KIDDER, PEABODY & CO. INCORPORATED
March 8, 1982 - August 14, 1984
LEHMAN BROTHERS INC.
January 31, 1980 - December 23, 1981
UBS FINANCIAL SERVICES INC.
April 23, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
October 1, 1974 - May 19, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 9, 1972 - November 1, 1974
E. F. HUTTON & 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 11/16/1981
Interest Rate Options ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 000
Date: 8/7/1972
General Securities Principal ExaminationSeries 1
Date: 8/7/1972
Registered Representative ExaminationCurrent 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.
