Kay C. Miner
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.
Kay Carol Collins Miner, who also goes by Kay Collins, Kay Carol Miner, Kay Miner, Kay Thiry, was a registered financial professional .
Kay is a previously registered financial professional and started their career in finance in 1990. Kay had worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 31, Series 3, Series 7, Series 4, Series 8 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2010 - February 20, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - February 20, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
June 23, 2003 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
June 17, 2003 - July 2, 2003
MML INVESTORS SERVICES, LLC
May 19, 2003 - June 5, 2003
LEONARD & COMPANY
April 6, 2000 - May 23, 2001
MORGAN STANLEY DW INC.
September 16, 1999 - January 7, 2000
TAFFERER TRADING, LLC
January 1, 1999 - February 16, 1999
OPPENHEIMER & CO. INC.
August 30, 1995 - January 1, 1999
FIRST OF MICHIGAN CORPORATION
September 28, 1993 - May 9, 1995
NORTH AMERICAN FINANCIAL GROUP, INC.
October 11, 1991 - August 23, 1993
A. G. EDWARDS & SONS, INC.
October 19, 1990 - October 3, 1991
MORGAN STANLEY DW 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
Series 8
Date: 8/18/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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 |
| 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.
