Doris M. Arroyo
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.
Doris Melba Arroyo, who also goes by Doris M Arroyo, Doris Melba Morales, was a registered financial professional .
Doris is a previously registered financial professional and started their career in finance in 1992. Doris had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 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
March 26, 2014 - April 7, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
February 6, 2014 - April 7, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
April 8, 2013 - January 21, 2014
STONEX FINANCIAL INC.
March 1, 2013 - April 5, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
February 28, 2013 - April 5, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
September 30, 2011 - February 20, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
September 29, 2011 - February 20, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
June 22, 2011 - October 17, 2011
MORGAN STANLEY
June 1, 2009 - October 17, 2011
MORGAN STANLEY
January 19, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 17, 2004 - January 24, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 11, 2003 - January 27, 2004
G. A. REPPLE & COMPANY
May 30, 1995 - January 8, 2001
TRUIST INVESTMENT SERVICES, INC.
November 1, 1993 - September 29, 1994
CHARLES SCHWAB & CO., INC.
October 9, 1992 - April 14, 1994
FIRST UNION BROKERAGE SERVICES, 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.
