Bernice C. Freeland
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.
Bernice Catherine Freeland, who also goes by Bernice Katherine Cox, Bernice Katherine Freeland, was a registered financial professional .
Bernice is a previously registered financial professional and started their career in finance in 1968. Bernice had worked at 11 firms and has passed the Series 65, Series 63, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2012 - October 30, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
August 3, 2012 - October 30, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
September 14, 2010 - August 14, 2012
LPL FINANCIAL LLC
August 30, 2010 - August 14, 2012
LPL FINANCIAL LLC
August 27, 2007 - August 31, 2010
MORGAN KEEGAN & COMPANY, LLC
August 24, 2007 - August 31, 2010
MORGAN KEEGAN & COMPANY, LLC
November 22, 2000 - August 27, 2007
WELLS FARGO CLEARING SERVICES, LLC
November 22, 2000 - August 27, 2007
WELLS FARGO CLEARING SERVICES, LLC
April 19, 1989 - December 6, 2000
PRUDENTIAL EQUITY GROUP, LLC
May 14, 1988 - April 19, 1989
LEHMAN BROTHERS INC.
February 24, 1978 - March 13, 1979
MORGAN STANLEY DW INC.
January 28, 1974 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
July 2, 1973 - March 27, 1974
DUPONT WALSTON, INCORPORATED
May 26, 1970 - July 2, 1973
DUPONT GLORE FORGAN INCORPORATED
August 22, 1968 - May 14, 1988
E. F. HUTTON & COMPANY 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
PC
Date: 2/6/1979
AMEX Put and Call ExamSeries 000
Date: 8/22/1968
General Securities Principal ExaminationSeries 1
Date: 1/15/1966
Registered 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 |
| 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.
