Frank R. Morgana
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.
Frank Richard Morgana was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1994. Frank had worked at 7 firms and has passed the 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 19, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
December 19, 2003 - May 28, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
March 12, 2002 - November 7, 2003
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
November 25, 1999 - September 28, 2000
CITICORP INVESTMENT SERVICES
May 13, 1998 - October 11, 1999
INVESTACORP, INC.
January 2, 1998 - May 14, 1998
LOCUST STREET SECURITIES, INC.
February 7, 1997 - December 31, 1997
IFMG SECURITIES, INC.
July 22, 1994 - January 17, 1997
IDS LIFE INSURANCE COMPANY
July 22, 1994 - January 17, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
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
IDS LIFE INSURANCE COMPANY
CRD#: 6321 / SEC#: , 8-14124
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC. | SHAREHOLDER | |
| ALVERO, GUMER CRUZ | DIRECTOR, EVP - ANNUITIES | 1975307 |
| BECHTOLD, TIMOTHY VERNON | DIRECTOR, PRESIDENT | 1621000 |
| BERMAN, ARTHUR HOWARD | DIRECTOR, EVP - FINANCE | 4591628 |
| RUETHER, JULIE ANN | CHIEF COMPLIANCE OFFICER | 1090661 |
| SCHWARZMANN, MARK EDWARD | DIRECTOR, CEO, COB | 4742555 |
| STEWART, DAVID KENT | VICE PRESIDENT AND CONTROLLER | 2990869 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
