Paul J. Mongin
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.
Paul Joseph Mongin was a registered financial advisor .
Paul is a previously registered financial advisor and started their career in finance in 1973. Paul had worked at 12 firms and has passed the Series 63, SIE, Series 1 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
November 30, 1993 - August 12, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
November 29, 1993 - July 3, 2006
IDS LIFE INSURANCE COMPANY
November 29, 1993 - August 12, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
June 11, 1992 - November 12, 1993
HARBOUR INVESTMENTS, INC.
July 25, 1991 - June 6, 1992
CAPITAL FINANCIAL SERVICES, INC.
September 24, 1990 - July 15, 1991
CUNA BROKERAGE SERVICES, INC.
September 12, 1989 - August 14, 1990
CENTURY INVESTORS OF AMERICA, INC.
April 8, 1988 - August 11, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 29, 1986 - April 19, 1988
CAPITAL FINANCIAL SERVICES, INC.
November 27, 1985 - May 28, 1986
CENTURY INVESTORS OF AMERICA, INC.
October 30, 1984 - December 16, 1985
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 14, 1983 - June 17, 1985
SOURCE SECURITIES, INC.
April 21, 1980 - September 12, 1983
FIRST AFFILIATED SECURITIES, INC.
July 27, 1977 - June 5, 1980
NEW ENGLAND SECURITIES
December 3, 1973 - August 25, 1977
MILWAUKEE EQUITY 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 1
Date: 11/28/1973
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.
