Kimberly A. Clark
Professional summary
Kimberly Ann Clark was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kimberly is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Kimberly had worked at 5 firms, which includes AMERIPRISE FINANCIAL SERVICES LLC, RBC CAPITAL MARKETS LLC, MORGAN STANLEY & CO. LLC, MORGAN STANLEY DW INC., WELLS FARGO CLEARING SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2019 - February 14, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
February 25, 2019 - February 14, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
December 4, 2008 - February 19, 2019
RBC CAPITAL MARKETS, LLC
December 4, 2008 - February 19, 2019
RBC CAPITAL MARKETS, LLC
April 2, 2007 - December 5, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - December 5, 2008
MORGAN STANLEY & CO. LLC
December 5, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
December 4, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
March 12, 2004 - October 17, 2006
RBC CAPITAL MARKETS, LLC
March 12, 2004 - October 17, 2006
RBC CAPITAL MARKETS, LLC
November 7, 2001 - March 9, 2004
WELLS FARGO CLEARING SERVICES, LLC
August 3, 2001 - March 9, 2004
WELLS FARGO CLEARING SERVICES, 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 |
| 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 |
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.
Company Information
AMERIPRISE FINANCIAL SERVICES, LLC
Financial AdvisorCRD#: 6363TRUST BUT VERIFY
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