Richard J. Maciasz
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.
Richard Joseph Maciasz, who also goes by Richard J Maciasz, Richard Maciasz, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
July 28, 2023 - July 3, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
July 28, 2023 - July 3, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
September 20, 2019 - August 1, 2023
CETERA WEALTH SERVICES, LLC
August 21, 2018 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
October 2, 2015 - August 1, 2023
CETERA INVESTMENT ADVISERS LLC
August 29, 2015 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
March 29, 2010 - November 13, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
March 29, 2010 - September 25, 2015
J.P. TURNER & COMPANY, L.L.C.
January 26, 2006 - March 29, 2010
GUNNALLEN FINANCIAL, INC
May 11, 2005 - March 29, 2010
GUNNALLEN FINANCIAL, INC
September 14, 2001 - May 11, 2005
INVESTMENT PROFESSIONALS, INC.
May 19, 1992 - September 17, 2001
SUNAMERICA SECURITIES, INC.
August 29, 1990 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 18, 1988 - September 13, 1991
FIRST AMERICA EQUITIES CORP.
July 20, 1987 - April 12, 1988
AMERICAN GENERAL EQUITY SERVICES CORPORATION
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.
