Bernard J. Hansan
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 Joseph Hansan, who also goes by Bernie Hansan, was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1968. Bernard had worked at 11 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 1, Series 000, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2008 - December 21, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
November 19, 2008 - December 21, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
September 22, 2005 - November 19, 2008
CITY SECURITIES CORPORATION
April 14, 2004 - November 19, 2008
CITY SECURITIES CORPORATION
January 4, 1999 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
August 3, 1998 - January 4, 1999
IFMG SECURITIES, INC.
July 2, 1996 - April 15, 2004
NATCITY INVESTMENTS, INC.
September 18, 1995 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
July 14, 1995 - July 20, 1995
NATCITY INVESTMENTS, INC.
July 14, 1995 - July 10, 1996
NATIONAL CITY INVESTMENTS CORPORATION
September 19, 1990 - July 14, 1995
RAFFENSPERGER, HUGHES & CO., INC.
September 15, 1989 - October 3, 1990
PRUDENTIAL EQUITY GROUP, LLC
November 29, 1973 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
November 22, 1972 - April 19, 1974
JOHN HANCOCK DISTRIBUTORS LLC
February 16, 1968 - March 22, 1971
THOMSON MCKINNON SECURITIES 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
Series 15
Date: 5/23/1983
Foreign Currency Options ExaminationSeries 5
Date: 1/28/1982
Interest Rate Options ExaminationSeries 1
Date: 2/13/1968
Registered Representative ExaminationSeries 000
Date: 1/26/1968
General Securities Principal ExaminationSeries 12
Date: 12/14/1976
NYSE Branch Manager 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.
