Danny G. Hirsch
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.
Danny George Hirsch, who also goes by Dan Hirsch, was a registered financial professional .
Danny is a previously registered financial professional and started their career in finance in 1971. Danny had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 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
Experience
November 12, 2010 - August 24, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
November 12, 2010 - May 17, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
November 1, 2006 - November 16, 2010
FSC SECURITIES CORPORATION
November 1, 2006 - November 16, 2010
FSC SECURITIES CORPORATION
May 23, 1990 - November 6, 2006
FFP ADVISORY SERVICES INC
June 12, 1987 - November 6, 2006
FFP SECURITIES, INC.
August 14, 1985 - June 17, 1987
INVESTACORP, INC.
December 1, 1982 - August 26, 1985
FIRST AFFILIATED SECURITIES, INC.
January 8, 1980 - March 28, 1984
STRATEGIC DISTRIBUTORS, INC.
April 15, 1975 - December 13, 1979
THE INCOME BUILDERS, INC.
August 13, 1974 - May 11, 1975
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
April 13, 1973 - September 15, 1974
SOMERSET EQUITIES CORPORATION
February 26, 1973 - May 11, 1973
INDEPENDENT FINANCIAL PLANNERS CORPORATION
October 8, 1971 - April 15, 1973
WADDELL & REED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 10/5/1971
Registered Representative 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.
