Paul W. Barker
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.
Paul William Barker was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1989. Paul had worked at 16 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 4 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
October 18, 2022 - March 6, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
October 14, 2022 - March 6, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
November 5, 2015 - October 20, 2022
WELLS FARGO CLEARING SERVICES, LLC
November 4, 2015 - October 20, 2022
WELLS FARGO CLEARING SERVICES, LLC
March 23, 2010 - November 6, 2015
U.S. BANCORP INVESTMENTS, INC.
March 22, 2010 - November 6, 2015
U.S. BANCORP INVESTMENTS, INC.
October 23, 2009 - March 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - March 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 15, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 12, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 21, 2006 - December 22, 2008
WAMU INVESTMENTS, INC.
February 12, 1999 - December 22, 2008
WAMU INVESTMENTS, INC.
February 18, 1998 - February 9, 1999
FISERV INVESTOR SERVICES, INC.
August 30, 1997 - February 18, 1998
AEGON USA SECURITIES INC.
January 31, 1997 - September 8, 1997
CAL FED INVESTMENTS
December 14, 1995 - January 31, 1997
INVEST FINANCIAL CORPORATION
March 3, 1994 - October 4, 1995
SCOTTRADE, INC.
July 20, 1993 - October 25, 1993
LPL FINANCIAL LLC
June 15, 1993 - August 7, 1993
FIRST AFFILIATED SECURITIES
June 29, 1989 - August 31, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 29, 1989 - August 31, 1989
PRUCO SECURITIES, LLC.
April 13, 1989 - June 13, 1989
ARM SECURITIES 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.
Company Information
AMERIPRISE FINANCIAL SERVICES, LLC
Financial AdvisorCRD#: 6363TRUST BUT VERIFY
Monitor Paul Barker
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