Todd M. Frattura
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.
Todd Michael Frattura, who also goes by Todd Michael Fratlura, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1997. Todd had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2021 - June 9, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
February 24, 2021 - June 9, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
June 29, 2020 - September 22, 2020
MML INVESTORS SERVICES, LLC
June 25, 2020 - September 22, 2020
MML INVESTORS SERVICES, LLC
April 7, 2016 - June 23, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
April 7, 2016 - June 23, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
December 13, 2012 - March 9, 2016
MORGAN STANLEY
December 13, 2012 - March 9, 2016
MORGAN STANLEY
September 27, 2002 - December 17, 2012
UBS FINANCIAL SERVICES INC.
September 27, 2002 - December 17, 2012
UBS FINANCIAL SERVICES INC.
September 17, 1999 - October 2, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 17, 1999 - October 2, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 22, 1997 - September 20, 1999
PRUDENTIAL EQUITY GROUP, 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 8
Date: 7/15/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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.
Company Information
AMERIPRISE FINANCIAL SERVICES, LLC
Branch ManagerCRD#: 6363TRUST BUT VERIFY
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