Sara V. Althoff
Professional summary
Sara Viker Althoff, who also goes by Sara Beth VIker, is a registered financial professional currently at AMERIPRISE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota and AMERICAN ENTERPRISE INVESTMENT SERVICES INC. located in Minneapolis, Minnesota.
Sara is registered as a RR (Registered Representative) and started their career in finance in 2008. Sara has worked at 5 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sara Viker Althoff's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 2, 2020 - Present
AMERIPRISE FINANCIAL SERVICES, LLC
Office #1: 901 3rd Ave S, Minneapolis, MN 55402-3367June 22, 2020 - Present
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402December 18, 2015 - July 9, 2019
ALLIANZ LIFE FINANCIAL SERVICES, LLC
January 3, 2011 - January 13, 2014
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
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
FINRA
Current Firm
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
CRD#: 26506 / SEC#: , 8-42582
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| CARR, GREGORY GERARD | DIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT | 2210835 |
| FLANSBURG, BRETT ALLEN | VICE PRESIDENT, AWM COMPLIANCE AND CHIEF COMPLIANCE OFFICER | 3179474 |
| GERDES, JOSEPH FRANCIS | DIRECTOR, CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 2391989 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| SENNE, ANN MARIE | DIRECTOR | 2515669 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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