Gary L. Imel
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.
Gary Lee Imel was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1973. Gary had worked at 10 firms and has passed the Series 65, Series 63, 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
August 1, 2017 - October 15, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
August 1, 2017 - October 15, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
June 6, 2014 - August 1, 2017
KALOS MANAGEMENT
June 6, 2014 - August 1, 2017
KALOS CAPITAL, INC.
March 25, 2009 - June 6, 2014
MADISON AVENUE SECURITIES, LLC
October 31, 2006 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
October 31, 2006 - June 6, 2014
MADISON AVENUE SECURITIES, LLC
July 14, 2006 - November 6, 2006
VOYA FINANCIAL ADVISORS, INC.
February 24, 2005 - November 6, 2006
VOYA FINANCIAL ADVISORS, INC.
January 17, 2003 - February 3, 2005
MML INVESTORS SERVICES, LLC
April 13, 1982 - January 13, 2003
NYLIFE SECURITIES LLC
September 2, 1977 - August 18, 1980
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 14, 1975 - August 22, 1977
VERAVEST INVESTMENTS, INC.
May 15, 1973 - September 22, 1975
NYLIFE SECURITIES LLC
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 1
Date: 5/8/1973
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.
