Kathryn Mcelvogue
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.
Kathryn Mcelvogue, who also goes by Kathryn V Mcelvogue, Kathryn Venancio Mcelvogue, Kathryn Venancio, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1995. Kathryn had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2019 - October 19, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
December 23, 2019 - October 19, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
November 7, 2018 - November 15, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 6, 2018 - November 15, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 24, 2014 - November 7, 2018
MOORS & CABOT, INC.
October 1, 2013 - March 26, 2019
CRELLIN CAPITAL, LLC
March 6, 2009 - December 31, 2013
MOORS & CABOT, INC.
February 24, 2009 - November 7, 2018
MOORS & CABOT, INC.
January 26, 2009 - February 23, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 16, 2009 - January 23, 2009
MORGAN STANLEY & CO. LLC
January 16, 2009 - January 23, 2009
MORGAN STANLEY & CO. LLC
July 25, 2001 - June 13, 2008
UBS FINANCIAL SERVICES INC.
May 18, 2000 - July 27, 2001
RBC CAPITAL MARKETS, LLC
March 2, 1998 - February 4, 2000
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
May 7, 1996 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
November 27, 1995 - February 2, 1996
WELLS FARGO CLEARING SERVICES, LLC
February 6, 1995 - November 29, 1995
RAUSCHER PIERCE REFSNES, 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 |
| 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.
