Quint L. Dalrymple
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.
Quint Leslie Dalrymple was a registered financial professional .
Quint is a previously registered financial professional and started their career in finance in 1987. Quint had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 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 - December 19, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - December 19, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
August 22, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
May 19, 2006 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
December 18, 2003 - June 5, 2006
KEYBANC CAPITAL MARKETS INC.
April 23, 1998 - January 5, 2004
NATCITY INVESTMENTS, INC.
July 12, 1995 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
October 17, 1994 - May 22, 1995
ESSEX NATIONAL SECURITIES, LLC
May 24, 1994 - September 9, 1994
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
April 21, 1993 - May 25, 1994
INTREPID SECURITIES, INC.
August 1, 1990 - April 8, 1992
A. G. EDWARDS & SONS, INC.
June 16, 1989 - August 3, 1990
FIRST OHIO SECURITIES COMPANY
October 31, 1988 - June 10, 1989
CIDCO INVESTMENT SERVICES, INC.
August 20, 1987 - November 16, 1987
BEACHWOOD INVESTMENTS, 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.
