Elias R. Dau
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.
Elias Richard Dau, who also goes by Elias Richard Dau, Elias R. Dau, Elias R Dau, was a registered financial professional .
Elias is a previously registered financial professional and started their career in finance in 1997. Elias had worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 6, Series 51, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2025 - March 17, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
May 29, 2025 - March 17, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
December 20, 2021 - December 13, 2024
WELLS FARGO CLEARING SERVICES, LLC
December 20, 2021 - December 13, 2024
WELLS FARGO CLEARING SERVICES, LLC
March 26, 2019 - April 12, 2021
PRINCIPAL SECURITIES, INC.
March 20, 2019 - April 12, 2021
PRINCIPAL SECURITIES, INC.
February 17, 2009 - June 13, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 2009 - June 13, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 5, 2009 - February 26, 2009
CITIGROUP GLOBAL MARKETS INC.
February 5, 2009 - February 26, 2009
CITIGROUP GLOBAL MARKETS INC.
July 29, 2004 - February 6, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 7, 2004 - February 6, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 2003 - February 23, 2004
MORGAN STANLEY DW INC.
July 17, 2002 - September 6, 2002
AMERIPRISE ADVISOR SERVICES, INC.
June 22, 2001 - June 7, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 20, 2000 - April 10, 2001
EQUITABLE ADVISORS, LLC
December 2, 1997 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 2, 1997 - March 14, 2000
EQUITABLE ADVISORS, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
