Brenda A. Bearse
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.
Brenda Ann Bearse, who also goes by Brenda A Rodriguez, Brenda A Smith, was a registered financial professional .
Brenda is a previously registered financial professional and started their career in finance in 1990. Brenda had worked at 10 firms and has passed the Series 63, SIE 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
September 7, 2016 - November 14, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
August 24, 2007 - October 27, 2014
LPL FINANCIAL LLC
November 29, 2006 - September 17, 2007
ESSEX NATIONAL SECURITIES, LLC
November 6, 2003 - November 29, 2006
CUSO FINANCIAL SERVICES, L.P.
October 8, 2003 - October 28, 2003
WELLS FARGO CLEARING SERVICES, LLC
March 18, 2003 - May 16, 2003
LPL FINANCIAL LLC
May 2, 2001 - November 15, 2002
WELLS FARGO INVESTMENTS, LLC
October 20, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
March 5, 1999 - October 23, 2000
PRUDENTIAL EQUITY GROUP, LLC
February 25, 1993 - September 10, 1998
WELLS FARGO CLEARING SERVICES, LLC
June 12, 1991 - February 23, 1993
ATLAS SECURITIES, LLC
June 21, 1990 - December 17, 1990
IDS LIFE INSURANCE COMPANY
June 21, 1990 - December 17, 1990
AMERIPRISE FINANCIAL SERVICES, 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
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.
