Byron V. Ingram
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.
Byron Vahn Ingram, who also goes by Byron Vahn Ingram, was a registered financial professional .
Byron is a previously registered financial professional and started their career in finance in 1987. Byron had worked at 18 firms and has passed the Series 63, Series 65, SIE, 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
September 23, 2024 - August 14, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
March 15, 2023 - August 14, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
October 27, 2020 - March 1, 2023
EMPOWER FINANCIAL SERVICES, INC.
May 3, 2018 - July 28, 2020
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
September 2, 2015 - August 14, 2017
FIDELITY BROKERAGE SERVICES LLC
April 26, 2007 - December 19, 2008
CURIAN CAPITAL, LLC
April 26, 2007 - December 19, 2008
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
April 15, 2005 - April 16, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 15, 2005 - April 16, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 22, 2004 - November 29, 2004
CHARLES SCHWAB & CO., INC.
April 16, 2004 - November 29, 2004
CHARLES SCHWAB & CO., INC.
January 27, 2003 - September 3, 2003
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
June 27, 2002 - November 15, 2002
BNY ADVISORS
December 14, 2001 - November 15, 2002
LOCKWOOD FINANCIAL SERVICES, INC.
January 24, 1994 - February 22, 2001
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
November 20, 1992 - December 16, 1993
IFMG SECURITIES, INC.
September 21, 1989 - June 22, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 15, 1988 - July 1, 1989
CAL FED INVESTMENTS
December 23, 1987 - April 19, 1988
CAPITAL BROKERAGE CORPORATION
October 5, 1987 - November 20, 1987
THE STUART-JAMES COMPANY, INCORPORATED
September 22, 1987 - October 29, 1987
BLINDER, ROBINSON & CO., 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.
