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TO

Tina M. Otten Gregory

AMERICAN ENTERPRISE INVESTMENT SERVICES
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 3113114
TO

Professional summary

Tina Marie Otten Gregory, who also goes by Tina Marie Otten Gregory, Tima Marie Otten, Tina M Otten, Tina Marie Otten-lindquist, Tina Marie Otten, is a registered financial professional currently at AMERICAN ENTERPRISE INVESTMENT SERVICES INC. located in Minneapolis, Minnesota.

Tina is registered as a RR (Registered Representative) and started their career in finance in 1998. Tina has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tina Marie Otten Gregory | Tima Marie Otten | Tina M Otten | Tina Marie Otten-Lindquist | Tina Marie Otten

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tina Marie Otten Gregory's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 3, 2017 - Present

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

Office #1: 901 3rd Ave S, Minneapolis, MN 55402
BD
CRD#: 26506
Minneapolis, MN
Past

February 3, 2014 - December 31, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Minneapolis, MN
Past

November 24, 2010 - January 18, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Minneapolis, MN
Past

November 17, 2009 - November 16, 2010

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
MINNEAPOLIS, MN
Past

June 25, 2007 - July 18, 2008

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
ST. PAUL, MN
Past

September 8, 1998 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

September 8, 1998 - April 9, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Minnesota
(1/3/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 2/23/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/13/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/4/1998
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AE
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | NATIONAL INVESTMENT SERVICES, INC. | IDS INVESTMENT SERVICES, INC.

CRD#: 26506 / SEC#: , 8-42582

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
901 3rd Avenue South, Minneapolis, MN 55402
Mailing Address
5221 Ameriprise Financial Center, Minneapolis, MN 55474
Phone number
(612) 671-3662
Established
Minnesota since 04/13/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AMPF HOLDING, LLCSHAREHOLDER
CARR, GREGORY GERARDDIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT2210835
FLANSBURG, BRETT ALLENVICE PRESIDENT, AWM COMPLIANCE AND CHIEF COMPLIANCE OFFICER3179474
GERDES, JOSEPH FRANCISDIRECTOR, CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER2391989
MATTOX, MICHAEL SCOTTVICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER4383501
SENNE, ANN MARIEDIRECTOR2515669
SWEENEY, JOSEPH EDWARDDIRECTOR4668713

Disclosures

Regulatory Event10

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.

Company Information

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

CRD#: 26506Minneapolis, MN 55402

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