Suzanne L. Filip
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.
Suzanne Lynette Filip, who also goes by Suzanne Jenkins, was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 2001. Suzanne had worked at 9 firms and has passed the Series 65, Series 63, SIE 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
November 22, 2023 - February 15, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
November 22, 2023 - February 15, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
August 10, 2023 - November 22, 2023
CETERA INVESTMENT ADVISERS LLC
August 10, 2023 - November 22, 2023
CETERA WEALTH SERVICES, LLC
June 29, 2023 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
June 29, 2023 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
November 4, 2019 - October 28, 2022
LPL FINANCIAL LLC
November 4, 2019 - June 12, 2023
LPL FINANCIAL LLC
January 11, 2019 - September 18, 2019
U.S. BANCORP INVESTMENTS, INC.
January 11, 2019 - September 18, 2019
U.S. BANCORP INVESTMENTS, INC.
January 23, 2017 - December 26, 2018
WELLS FARGO CLEARING SERVICES, LLC
January 23, 2017 - December 26, 2018
WELLS FARGO CLEARING SERVICES, LLC
April 20, 2016 - January 5, 2017
U.S. BANCORP INVESTMENTS, INC.
January 4, 2016 - March 30, 2016
RBC CAPITAL MARKETS, LLC
January 4, 2016 - March 30, 2016
RBC CAPITAL MARKETS, LLC
January 21, 2014 - January 4, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - January 4, 2016
WELLS FARGO CLEARING SERVICES, LLC
August 13, 2001 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
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.
