Alfred W. Hall

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CRD#: 233943

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.

Alfred Wesley Hall JR was a registered financial professional .

Alfred is a previously registered financial professional and started their career in finance in 1970. Alfred had worked at 17 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 5, Series 1, Series 30 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

September 24, 2021 - March 25, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

GREENWICH, CT

Past

June 29, 2021 - September 24, 2021

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Harrison, NY

Past

May 9, 2003 - September 24, 2021

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Harrison, NY

Past

January 4, 1999 - May 12, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

May 7, 1996 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

May 7, 1992 - May 15, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 20, 1984 - May 7, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 16, 1980 - September 27, 1982

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

June 14, 1979 - May 28, 1980

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

February 24, 1978 - July 19, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 22, 1977 - June 21, 1979

LEHMAN BROTHERS INC.

CRD#: 7506

Past

July 28, 1977 - November 22, 1977

SHEARSON HAYDEN STONE INC.

CRD#: 7295

Past

November 21, 1975 - February 24, 1978

REYNOLDS SECURITIES, INC.

CRD#: 712

Past

July 1, 1974 - February 12, 1976

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

CRD#: 412

Past

March 19, 1973 - August 1, 1974

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

October 12, 1971 - April 19, 1973

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

September 3, 1971 - November 15, 1971

DUPONT GLORE FORGAN INC

CRD#: 1000003

Past

February 25, 1971 - October 2, 1971

REYNOLDS SECURITIES, INC.

CRD#: 712

Past

April 13, 1970 - March 5, 1971

F I DUPONT GLORE FORGAN & CO

CRD#: 1000001

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

CRD#: 6363 / SEC#: 801-28543, 8-16791

RIA

Registered Investment Advisory firm - SEC (12/5/1986 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/18/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/1/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 11/18/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 1

Date: 4/6/1970

Registered Representative Examination

Principal/Supervisory Exam

Series 30

Date: 3/17/1998

NFA Branch Manager Examination

Principal/Supervisory Exam

Series 24

Date: 9/4/1996

General Securities Principal Examination

Current Firm

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363 / SEC#: 801-28543, 8-16791

RIA

Registered Investment Advisory firm - SEC (12/5/1986 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

AMERIPRISE MANAGED ACCOUNTS (9/26/2025)

AMERIPRISE MANAGED ACCOUNTS AND FINANCIAL PLANNING SERVICE (9/26/2025)

AMERIPRISE PREMIER RETIREMENT INCOME (7/25/2025)

AMERIPRISE FINANCIAL PLANNING SERVICE - LIMITED CONSULTING SERVICES SUPPLEMENT (3/28/2025)

AMERIPRISE FINANCIAL PLANNING SERVICE - DIVORCE FINANCIAL ANALYSIS SUPPLEMENT (3/28/2025)

AMERIPRISE RETIREMENT PLAN CONSULTING SERVICES (3/28/2025)

AMERIPRISE FINANCIAL PLANNING SERVICES - FLEXIBLE SERVICE SUPPLEMENT (3/28/2025)

AMERIPRISE FINANCIAL PLANNING SERVICES (3/28/2025)

AMERIPRISE FINANCIAL PLANNING SERVICE - CONSULTING SERVICE SUPPLEMENT (3/28/2025)

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	Cover Page	Report
09/23/2024	Cover Page	Report
10/24/2023	Cover Page	Report
12/16/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Alfred W. Hall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

THOMSON MCKINNON SECURITIES INC.

DREXEL BURNHAM LAMBERT INCORPORATED

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

SHEARSON HAYDEN STONE INC.

REYNOLDS SECURITIES, INC.

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

E. F. HUTTON & COMPANY INC

DUPONT GLORE FORGAN INC

REYNOLDS SECURITIES, INC.

F I DUPONT GLORE FORGAN & CO

Primary Firm SEC Registration

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/18/1992

Series 63

Date: 6/1/1987

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 5

Date: 11/18/1981

Series 1

Date: 4/6/1970

Series 30

Date: 3/17/1998

Series 24

Date: 9/4/1996

Current Firm

AMERIPRISE FINANCIAL SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

AMERIPRISE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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