Gail Harrower
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.
Gail Harrower, who also goes by Gail Coulter, Coulter Gail Harrower, Gail Harrowercoulter, Coulter Gail Huber, Gail Huber, was a registered financial professional .
Gail is a previously registered financial professional and started their career in finance in 1994. Gail had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 2, Series 6 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 15, 2013 - April 13, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
November 15, 2013 - April 13, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
November 16, 2009 - November 15, 2013
SII INVESTMENTS, INC.
November 16, 2009 - November 15, 2013
SII INVESTMENTS, INC.
May 29, 2007 - November 13, 2009
KMS FINANCIAL SERVICES, INC.
May 29, 2007 - November 13, 2009
KMS FINANCIAL SERVICES, INC.
April 30, 2003 - May 31, 2007
ASSOCIATED SECURITIES CORP.
March 26, 2001 - June 14, 2007
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
February 22, 2001 - May 31, 2007
ASSOCIATED SECURITIES CORP.
March 28, 1997 - March 7, 2001
SII INVESTMENTS, INC.
January 31, 1995 - April 10, 1997
MARINER FINANCIAL SERVICES, INC.
July 25, 1994 - January 20, 1995
FIRST AFFILIATED SECURITIES
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 2
Date: 8/31/1995
Non-Member General Securities 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.
