Lorraine A. Wojtas
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.
Lorraine Ann Wojtas, who also goes by Lorraine Ann Ohara, Lorraine Ann Rizza, Lorraine Rizza, Lorraine Ann Wojtas, was a registered financial professional .
Lorraine is a previously registered financial professional and started their career in finance in 1994. Lorraine had worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 24, 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
June 2, 2023 - July 11, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
June 2, 2023 - July 11, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
June 1, 2022 - March 3, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 1, 2022 - March 3, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 24, 2018 - May 25, 2022
WELLS FARGO CLEARING SERVICES, LLC
January 24, 2018 - May 25, 2022
WELLS FARGO CLEARING SERVICES, LLC
March 15, 2017 - February 13, 2018
INTEGRATED INVESTMENT CONSULTANTS, LLC
February 18, 2011 - February 14, 2017
WELLS FARGO CLEARING SERVICES, LLC
February 16, 2011 - February 14, 2017
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2010 - November 3, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 7, 2010 - November 3, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 28, 2009 - January 11, 2010
WELLS FARGO CLEARING SERVICES, LLC
June 16, 2008 - January 11, 2010
WELLS FARGO CLEARING SERVICES, LLC
June 16, 1998 - December 11, 1999
RAYMOND JAMES & ASSOCIATES, INC.
May 11, 1998 - September 25, 1999
RONEY & CO.
October 18, 1996 - May 11, 1998
RONEY & CO. L.L.C.
February 12, 1996 - November 11, 1996
LPM INVESTMENT SERVICES, INC
December 23, 1994 - January 5, 1996
FIRST OF MICHIGAN 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
Series 99TO
Date: 1/2/2023
Operations Professional 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 |
| 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.
