Keith G. Gerr
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.
Keith Gary Gerr was a registered financial advisor .
Keith is a previously registered financial advisor and started their career in finance in 1988. Keith had worked at 15 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2007 - November 30, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
March 28, 2007 - November 30, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
February 27, 2006 - March 15, 2007
JHS CAPITAL ADVISORS, LLC
May 4, 2005 - February 27, 2006
CAPITAL GROWTH FINANCIAL, LLC
July 17, 2002 - June 2, 2005
JANNEY MONTGOMERY SCOTT LLC
October 24, 2000 - July 18, 2002
BROOKSTREET SECURITIES CORPORATION
July 15, 1998 - October 27, 2000
NORTHEAST SECURITIES, LLC
May 17, 1994 - July 22, 1998
JOSEPHTHAL & CO., INC.
July 31, 1993 - May 31, 1994
CITIGROUP GLOBAL MARKETS INC.
February 17, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
February 25, 1992 - February 20, 1993
BARBER & BRONSON INCORPORATED
May 7, 1990 - June 19, 1990
JOSEPHTHAL & CO., INC.
January 25, 1990 - May 11, 1990
G. K. SCOTT & CO., INC.
January 12, 1989 - February 15, 1990
J. T. MORAN & CO., INC.
January 6, 1989 - February 16, 1989
HANIFEN, IMHOFF SECURITIES CORP.
May 27, 1988 - January 18, 1989
GRAYSTONE NASH, INC.
February 1, 1988 - June 23, 1988
THE STUART-JAMES COMPANY, INCORPORATED
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.
