Jeannie L. Thao-houane
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.
Jeannie L Thao-houane, who also goes by Jeannie Lee, Jeannie Lee Thao-houane, Jeannie Thao-houane, was a registered financial professional .
Jeannie is a previously registered financial professional and started their career in finance in 1987. Jeannie had worked at 13 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2023 - April 29, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
August 25, 2022 - April 29, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
December 21, 2011 - January 3, 2013
VOYA FINANCIAL ADVISORS, INC.
August 19, 2009 - December 31, 2009
VOYA FINANCIAL ADVISORS, INC.
July 14, 2009 - November 25, 2015
VOYA FINANCIAL ADVISORS, INC.
January 1, 2008 - July 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - July 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 9, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
October 9, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
December 1, 2005 - October 10, 2006
ALLSTATE FINANCIAL SERVICES, LLC
April 18, 1997 - September 15, 2005
CHARLES SCHWAB & CO., INC.
April 18, 1997 - September 15, 2005
CHARLES SCHWAB & CO., INC.
August 19, 1996 - April 17, 1997
WELLS FARGO SECURITIES INC.
February 16, 1996 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
January 23, 1996 - March 4, 1996
MONY SECURITIES CORPORATION
February 1, 1991 - July 27, 1992
METROPOLITAN LIFE INSURANCE COMPANY
January 30, 1991 - July 27, 1992
MSI FINANCIAL SERVICES, INC.
October 9, 1987 - June 29, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 9, 1987 - June 29, 1990
EQUITABLE ADVISORS, LLC
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: 8/25/2022
General Securities 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 |
| 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 |
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.
Company Information
AMERIPRISE FINANCIAL SERVICES, LLC
Financial AdvisorCRD#: 6363TRUST BUT VERIFY
Monitor Jeannie Thao-houane
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