Jennifer L. George-smith
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.
Jennifer Lea George-smith, who also goes by Jennifer Lea George, Jennifer Lea George-smith, Jennifer Leq George-smith, Jennifer Lea Smith, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 1993. Jennifer had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2021 - July 6, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
December 1, 2021 - July 6, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
October 7, 2021 - December 3, 2021
LPL FINANCIAL LLC
October 7, 2021 - December 3, 2021
LPL FINANCIAL LLC
April 3, 2003 - October 7, 2021
LPL FINANCIAL LLC
April 3, 2003 - October 7, 2021
LPL FINANCIAL LLC
September 27, 1999 - April 2, 2003
CETERA INVESTMENT SERVICES LLC
September 21, 1999 - April 2, 2003
CETERA INVESTMENT SERVICES LLC
April 23, 1998 - September 17, 1999
MARQUETTE FINANCIAL GROUP, INC.
August 23, 1996 - October 8, 1998
ESSEX NATIONAL SECURITIES, LLC
March 25, 1996 - August 16, 1996
CAPITAL BROKERAGE CORPORATION
January 31, 1994 - May 11, 1994
CAPITAL BROKERAGE CORPORATION
February 1, 1993 - January 28, 1994
ESSEX NATIONAL SECURITIES, 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 |
| 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.
