Lewis I. Manilove
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.
Lewis Irwin Manilove was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1969. Lewis had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 000, Series 1 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2010 - January 12, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
November 1, 2010 - January 12, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
April 1, 2005 - November 18, 2010
JANNEY MONTGOMERY SCOTT LLC
October 15, 2004 - November 18, 2010
JANNEY MONTGOMERY SCOTT LLC
July 1, 2003 - November 2, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - November 2, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 12, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 12, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 22, 1988 - June 1, 2000
UBS FINANCIAL SERVICES INC.
April 28, 1981 - June 29, 1988
CITIGROUP GLOBAL MARKETS INC.
October 24, 1969 - October 17, 1980
E. F. HUTTON & COMPANY 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 000
Date: 12/20/1965
General Securities Principal ExaminationSeries 1
Date: 12/20/1965
Registered Representative ExaminationSeries 12
Date: 5/1/1970
NYSE Branch Manager 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.
