Brian Tingley
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.
Brian Tingley, who also goes by Brian James Tingley, Brian J Tingley, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1997. Brian had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 52, Series 10, Series 9, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2021 - April 20, 2026
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
October 5, 2009 - April 20, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
April 23, 2009 - April 20, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
July 19, 2004 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
July 11, 2002 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
April 29, 1999 - October 16, 2000
H & R BLOCK FINANCIAL CORPORATION
August 25, 1997 - April 21, 1999
AMERIPRISE ADVISOR SERVICES, INC.
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
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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