Milton H. Luce
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.
Milton Hayes Luce III, who also goes by Milton Hayes Luce, Skip Luce, was a registered financial professional .
Milton is a previously registered financial professional and started their career in finance in 1972. Milton had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1, 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
October 5, 2009 - June 10, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - April 5, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
December 3, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
November 30, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
August 14, 2003 - December 3, 2007
WELLS FARGO CLEARING SERVICES, LLC
November 17, 2000 - December 3, 2007
WELLS FARGO CLEARING SERVICES, LLC
May 31, 1994 - November 16, 2000
GEORGE K. BAUM & COMPANY
March 2, 1992 - May 31, 1994
GKB, INC.
March 7, 1989 - March 11, 1992
PRUDENTIAL EQUITY GROUP, LLC
September 7, 1988 - April 24, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
April 19, 1983 - September 27, 1988
LM CONSOLIDATED FINANCIAL CORP.
November 17, 1972 - March 8, 1983
STIFEL, NICOLAUS & COMPANY, INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 4/6/1989
AMEX Put and Call ExamSeries 1
Date: 11/3/1972
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.
