Ross M. Azzarella
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.
Ross M Azzarella, who also goes by Ross Michael Azzarella, Ross Azzarella, was a registered financial professional .
Ross is a previously registered financial professional and started their career in finance in 1996. Ross had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 31 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
June 2, 2025 - September 24, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
June 2, 2025 - September 24, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
December 7, 2023 - June 3, 2025
RAYMOND JAMES & ASSOCIATES, INC.
December 7, 2023 - June 3, 2025
RAYMOND JAMES & ASSOCIATES, INC.
August 3, 2023 - September 5, 2023
ALIGN WEALTH ADVISORS
July 19, 2023 - September 7, 2023
SECURITIES AMERICA, INC.
January 28, 2020 - April 26, 2023
UBS FINANCIAL SERVICES INC.
January 28, 2020 - April 26, 2023
UBS FINANCIAL SERVICES INC.
December 5, 2013 - January 31, 2020
WELLS FARGO CLEARING SERVICES, LLC
December 5, 2013 - January 31, 2020
WELLS FARGO CLEARING SERVICES, LLC
July 11, 2012 - December 2, 2013
INVESTLINC WEALTH SERVICES
June 15, 2010 - August 9, 2011
FINANCIAL TELESIS INC
June 11, 2010 - February 15, 2013
FINANCIAL TELESIS INC
September 8, 2009 - June 15, 2010
LPL FINANCIAL LLC
September 8, 2009 - June 15, 2010
LPL FINANCIAL LLC
January 11, 2008 - March 30, 2009
WELLSPRING WEALTH MANAGEMENT LLC
October 9, 2007 - October 13, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
September 7, 2007 - September 8, 2009
ASSOCIATED SECURITIES CORP.
September 7, 2007 - September 8, 2009
ASSOCIATED SECURITIES CORP.
March 23, 2006 - September 11, 2007
HORNOR, TOWNSEND & KENT, LLC
October 31, 2005 - March 21, 2006
OSAIC SERVICES, INC.
January 29, 2004 - October 31, 2005
SENTRA SECURITIES CORPORATION
February 5, 2003 - December 1, 2003
CITICORP INVESTMENT SERVICES
May 29, 2002 - February 5, 2003
CAL FED INVESTMENTS
October 3, 2000 - March 12, 2002
UBS FINANCIAL SERVICES INC.
November 26, 1999 - September 19, 2000
MORGAN STANLEY DW INC.
September 28, 1998 - December 8, 1999
UBS FINANCIAL SERVICES INC.
October 28, 1996 - September 18, 1998
MORGAN STANLEY DW INC.
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
Current 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 |
| 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 |
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.
