Bernard Kiesel
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.
Bernard Kiesel, CFP®, who also goes by Bernie Kiesel, was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1991. Bernard had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 27 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
Start date: 2012
Experience
December 9, 2024 - June 3, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
December 9, 2024 - June 3, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
May 22, 2023 - December 9, 2024
CETERA INVESTMENT ADVISERS LLC
September 24, 2015 - June 29, 2023
CETERA WEALTH SERVICES, LLC
September 3, 2015 - December 9, 2024
CETERA WEALTH SERVICES, LLC
February 18, 2014 - September 9, 2015
QUESTAR ASSET MANAGEMENT, INC.
January 10, 2014 - September 9, 2015
QUESTAR CAPITAL CORPORATION
May 24, 2011 - January 10, 2014
ORION TRADING, LLC
November 18, 2005 - January 10, 2014
WILBANKS SECURITIES ADVISORY
March 3, 2003 - January 10, 2014
WILBANKS SECURITIES, INC.
September 25, 2001 - February 27, 2003
SUNSET FINANCIAL SERVICES, INC.
November 5, 1998 - October 21, 1999
DONAHUE SECURITIES, INC.
August 27, 1998 - November 30, 1998
L.M. KOHN & COMPANY
December 4, 1991 - October 7, 1997
AVANTAX INVESTMENT SERVICES, 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
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.
