Thaddeus W. Ingersoll
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.
Thaddeus Winthrop Ingersoll, CIMA®, who also goes by Thad Ingersoll, Thaddeus Winthrop Ingersoll, Thad Winthrop Ingersoll, was a registered financial professional .
Thaddeus is a previously registered financial professional and started their career in finance in 1995. Thaddeus had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10, Series 4, Series 8 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2017 - July 22, 2026
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
September 29, 2017 - July 22, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
September 29, 2017 - July 22, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
January 28, 2014 - September 29, 2017
QUESTAR ASSET MANAGEMENT, INC.
July 12, 2006 - September 29, 2017
QUESTAR CAPITAL CORPORATION
April 27, 2005 - December 1, 2006
USALLIANZ SECURITIES, INC.
March 2, 2001 - March 29, 2005
VOYA FINANCIAL ADVISORS, INC.
December 11, 1998 - February 22, 2001
RBC CAPITAL MARKETS, LLC
January 9, 1998 - December 2, 1998
FSC SECURITIES CORPORATION
November 19, 1996 - October 22, 1997
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 7, 1995 - November 21, 1996
PRUCO SECURITIES, 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
Series 8
Date: 2/1/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
CRD#: 26506 / SEC#: , 8-42582
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| CARR, GREGORY GERARD | DIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT | 2210835 |
| FLANSBURG, BRETT ALLEN | VICE PRESIDENT, AWM COMPLIANCE AND CHIEF COMPLIANCE OFFICER | 3179474 |
| GERDES, JOSEPH FRANCIS | DIRECTOR, CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 2391989 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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