Asher Krisman
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.
Asher Krisman, who also goes by Asher Seth Krisman, was a registered financial professional .
Asher is a previously registered financial professional and started their career in finance in 1997. Asher had worked at 12 firms and has passed the Series 63, Series 65, 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
October 10, 2013 - November 3, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
October 2, 2013 - November 3, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
April 11, 2013 - October 17, 2013
DAVID LERNER ASSOCIATES, INC.
July 20, 2010 - December 5, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 19, 2010 - December 5, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 2008 - December 4, 2008
EQUITABLE ADVISORS, LLC
February 28, 2008 - December 4, 2008
EQUITABLE ADVISORS, LLC
November 2, 2006 - March 3, 2008
SUMMIT BROKERAGE SERVICES, INC.
October 25, 2004 - October 23, 2006
NEWBRIDGE SECURITIES CORPORATION
June 17, 2004 - December 17, 2004
LH ROSS & COMPANY, INC.
August 13, 2002 - June 18, 2004
FIRST MONTAUK SECURITIES CORP.
September 1, 2001 - August 14, 2002
KIRLIN SECURITIES INC.
September 27, 2000 - September 1, 2001
M.S. FARRELL & COMPANY, INC.
May 15, 2000 - October 2, 2000
J.W. BARCLAY & CO., INC.
October 31, 1997 - May 23, 2000
CONTINENTAL BROKER-DEALER CORP.
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.
