Steven G. Seimears
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.
Steven Gordon Seimears, who also goes by Steve Gordon Seimears, Steve Seimears, Steven G Seimears, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1998. Steven had worked at 8 firms and has passed the Series 63, Series 65, Series 79TO, 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
September 28, 2020 - March 25, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
September 28, 2020 - March 25, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
May 13, 2015 - November 6, 2019
WELLS FARGO CLEARING SERVICES, LLC
May 12, 2015 - November 6, 2019
WELLS FARGO CLEARING SERVICES, LLC
August 28, 2012 - April 22, 2015
FREEDOM INVESTORS CORP.
August 1, 2006 - April 22, 2015
FREEDOM INVESTORS CORP.
March 17, 2006 - August 3, 2006
PAULSON INVESTMENT COMPANY LLC
March 17, 2006 - August 3, 2006
PAULSON INVESTMENT COMPANY LLC
May 19, 2005 - March 22, 2006
GUNNALLEN FINANCIAL, INC
May 19, 2005 - March 22, 2006
GUNNALLEN FINANCIAL, INC
May 24, 2002 - May 24, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 2002 - May 24, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2000 - June 4, 2002
CITIGROUP GLOBAL MARKETS INC.
July 21, 2000 - June 4, 2002
CITIGROUP GLOBAL MARKETS INC.
May 12, 1998 - August 2, 2000
UBS FINANCIAL SERVICES 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered 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 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| 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 | ||
| 12/16/2022 |
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.
