Eric A. Dupre
CRD#: 2174456
Professional summary
Eric Anthony Dupre was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Eric is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Eric had worked at 7 firms, which includes AMERIPRISE FINANCIAL SERVICES LLC, RAYMOND JAMES & ASSOCIATES INC., BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., UBS FINANCIAL SERVICES INC., J.C. BRADFORD & CO., AEGON USA SECURITIES INC., RAUSCHER PIERCE REFSNES INC..
Question & Answer
What are your service offerings?
Investment Management
Wealth Preservation Strategies
Retirement Planning Strategies
Are you a "fiduciary"?
No
Aliases
Eric Dupre | Eric A Dupr
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Business Ownership; DFG Properties, LLC; Managing Director; Real Estate Investment; San Antonio, TX 78216; Investment Related; March 2018; 1 to 9 hours per month; 0 during trading hours/ One International Holdings, LLC; Managing Director; LLC is passthrough entity used for the purposes of payroll, business expenses and benefits.; San Antonio, TX 78216; Not Investment Related; May 2021; 1 to 9 hours per month; 0 during trading hours. Independent Insurance Brokering; Symetra Life Insurance Co.; September 2020; Universal Life, Whole Life/ Blue Cross Blue Shield TX; March 2021; Health, Group, Medicare Supplement/ Humana; March 2021; Health, Group, Medicare Supplement/ United Healthcare; March 2021; Health, Group, Medicare Supplement/ Mutual of Omaha; September 2021; Universal Life, Whole Life. Board of Directors; Foundation for Cultural Arts dba Las Casas Foundation; Board Member; San Antonio, TX 78205; Not Investment Related; March 2008; 1-9 hours per month; 0 during trading hours/ WINGS; Board Member; San Antonio, TX 78201; Not Investment Related; September 2020; 1-9 hours per month; 0 during trading hours.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
June 5, 2020 - January 16, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
San Antonio, TX
Past
June 5, 2020 - January 16, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
San Antonio, TX
Past
September 2, 2005 - June 9, 2020
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
SAN ANTONIO, TX
Past
August 4, 2005 - June 9, 2020
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
SAN ANTONIO, TX
Past
August 12, 2002 - August 11, 2004
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
SAN ANTONIO, TX
Past
May 30, 2002 - August 11, 2004
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
CEDAR RAPIDS, IA
Past
August 14, 2000 - February 25, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 24, 1998 - August 14, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
July 21, 1997 - September 29, 1997
AEGON USA SECURITIES INC.
BD
CRD#: 13302
CEDAR RAPIDS, IA
Past
September 28, 1994 - February 5, 1997
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
CRD#: 6363 / SEC#: 801-28543, 8-16791
RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
CRD#: 6363 / SEC#: 801-28543, 8-16791
RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
9013rd Avenue South, Minneapolis, MN 55402
Mailing Address
5221 Ameriprise Financial Center, Minneapolis, MN 55474
Phone number
(612) 671-3131
Established
Delaware since 06/14/1971
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
14,000
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
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
