Jarod G. Huggins
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.
Jarod G Huggins, who also goes by Jarod Grant Huggins, was a registered financial professional .
Jarod is a previously registered financial professional and started their career in finance in 1998. Jarod had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 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
April 19, 2011 - September 27, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
April 19, 2011 - September 27, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
October 15, 2010 - March 30, 2011
PNC MANAGED ACCOUNT SOLUTIONS, INC.
June 11, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
June 9, 2010 - March 30, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
December 12, 2008 - January 11, 2010
LPL FINANCIAL LLC
December 12, 2008 - January 11, 2010
LPL FINANCIAL LLC
August 24, 2004 - December 15, 2008
CHASE INVESTMENT SERVICES CORP.
August 24, 2004 - December 15, 2008
CHASE INVESTMENT SERVICES CORP.
May 19, 2003 - September 3, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 19, 2003 - September 3, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 16, 1999 - February 26, 2003
CHARLES SCHWAB & CO., INC.
September 16, 1999 - February 26, 2003
CHARLES SCHWAB & CO., INC.
July 9, 1998 - June 28, 2000
MORGAN STANLEY DW 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
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 |
| 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.
