Dianne E. Reinen
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.
Dianne Elder Reinen, who also goes by Dianne Elder, Dianne Carol Elder, Dianne Carol Owens, Dianne C Rottero, Dianne Carol Rottero, Dianne Reinen, was a registered financial professional .
Dianne is a previously registered financial professional and started their career in finance in 1993. Dianne had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2020 - January 28, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
January 3, 2020 - January 28, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
April 10, 2017 - January 10, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
April 10, 2017 - January 10, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
July 29, 2015 - November 8, 2016
A&G FINANCIAL MANAGEMENT, LLC
June 22, 2011 - May 15, 2015
WELLS FARGO CLEARING SERVICES, LLC
October 15, 2009 - May 15, 2015
WELLS FARGO CLEARING SERVICES, LLC
March 20, 2009 - July 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 5, 2007 - February 12, 2009
J.J.B. HILLIARD, W.L. LYONS, LLC
August 17, 2005 - January 3, 2007
WELLS FARGO CLEARING SERVICES, LLC
April 4, 2002 - August 19, 2005
J.J.B. HILLIARD, W.L. LYONS, LLC
August 14, 2000 - April 24, 2002
UBS FINANCIAL SERVICES INC.
February 23, 1999 - August 14, 2000
J.C. BRADFORD & CO.
January 25, 1999 - February 23, 1999
MORGAN STANLEY DW INC.
January 23, 1997 - October 21, 1998
UBS FINANCIAL SERVICES INC.
December 22, 1993 - August 14, 1996
CAMBRIDGE WAY, 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 7TO
Date: 3/8/2024
General Securities Representative 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 |
| 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.
