Brian K. Surovik
Professional summary
Brian Keith Surovik, who also goes by Brian Surovik, is a registered financial advisor currently at AMERIPRISE FINANCIAL SERVICES, LLC located in Zionsville, Indiana.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Brian has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
AMERIPRISE FINANCIAL SERVICES, LLC - Registered Investment Advisory firm
Version Date: Sat Sep 23 2023When you choose to work with your Ameriprise financial advisor and Ameriprise Financial Services, LLC, our goal is to help you plan for a confident financial future.
We are proud to adhere to the consumer protection principles of important industry organizations. By choosing us, you are working with a firm that is registered with the Securities and Exchange Commission (SEC) as both an investment adviser and a broker-dealer. We are also a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).
We’re providing this summary to help you choose products and services that are right for you and understand the differences and fees associated with them.
Financial planning
You will either pay a fixed dollar amount or asset-based fee for financial planning services. For most financial plans, the amount will vary based on the complexity of your personal situation and the advice you are seeking. These fees may be paid monthly, quarterly or annually.
Managed account
In a managed account, you will pay an asset-based fee, which is based on a percentage of your account value, charged in advance and assessed monthly. The exact percentage you pay takes into account factors such as the size of your account and the complexity of your situation. Because of that, the dollar amount you pay will generally increase with the value of your account, and we have an incentive to encourage you to increase assets in your account. Depending on the managed account program you select, the asset-based fee includes:
An advisory fee that you determine with your financial advisor.
Costs for the work we do to maintain our platform.
Fees you pay to an additional investment manager that you may choose to select.
In addition to those described above, you may have different expenses based on the products and services you choose. You may also pay for additional services you request, such as wire transfers.
Impact of fees on your investments
You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.
At Ameriprise, all clients have an opportunity to discuss key financial goals with their financial advisor and track one or two priority goals online at no additional cost. As you continue to work together, you may choose to receive more comprehensive advice from your advisor through a financial planning relationship, as appropriate for your personal situation and financial goals.
Questions to ask your Professional:
- Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?
When we provide you with a recommendation as your broker-dealer or act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the recommendations and investment advice we provide you. Here are some examples to help you understand what this means.
When you purchase an investment product such as a mutual fund or annuity that includes internal fees for management and other services, Ameriprise earns more money than if you purchase an investment that does not have internal fees such as a stock or bond. This is because Ameriprise generally receives a portion of these fees from the service providers to these investment products, which helps fund the cost of maintaining accounts and offering an investment platform to our clients.
When you hold a brokerage or advisory account with us, we’ll earn revenue on your cash within our sweep programs. If your cash is swept to our affiliated bank, then Ameriprise Bank, FSB earns “spread revenue” — the difference between the revenue it earns and the interest it pays you — on your deposits. This spread revenue compensates our bank for the operational costs and risks it bears. Our affiliated clearing brokerdealer receives revenue sharing from our mutual fund sweep program and receives payments from third-party banks with respect to our multi-bank sweep program.
When you purchase an investment product from a company affiliated with Ameriprise, we receive revenue associated with the fees charged by the product for the services provided to you. Examples of affiliated products include: Columbia Threadneedle investments, RiverSource annuities or life insurance and Ameriprise certificates.
Certain products we offer, such as individual bonds, can be purchased from or sold directly to our affiliated clearing broker-dealer through what is referred to as a principal trade. By conducting a principal trade, we are often able to provide greater liquidity and access to securities. Our clearing broker-dealer affiliate generally receives more compensation from principal trades than trades that occur in the market.
Questions to ask your Professional:
- How might your conflicts of interest affect me, and how will you address them?
Our financial advisors are compensated differently depending on their affiliation with us and the type of products and services they provide to you.
With investment advisory services, including both financial planning and managed accounts, your financial advisor receives a percentage of any advisory fees you pay.
With brokerage services, your financial advisor receives a percentage of the brokerage commissions you pay and ongoing fees from certain investment products you may hold.
The percentage of payments described above varies based on the amount of commissions your financial advisor generates annually, number of clients and assets under management.
Some financial advisors also receive a salary from us.
Most of our financial advisors receive gifts and entertainment from the sponsors of products we offer, though we restrict the amount they are allowed to receive consistent with industry regulations.
CRS (Client Relationship Summary) - BD
AMERIPRISE FINANCIAL SERVICES, LLC - Broker-Dealer Firm
Version Date: Sat Sep 23 2023When you choose to work with your Ameriprise financial advisor and Ameriprise Financial Services, LLC, our goal is to help you plan for a confident financial future.
We are proud to adhere to the consumer protection principles of important industry organizations. By choosing us, you are working with a firm that is registered with the Securities and Exchange Commission (SEC) as both an investment adviser and a broker-dealer. We are also a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).
We’re providing this summary to help you choose products and services that are right for you and understand the differences and fees associated with them.
Brokerage services
In a brokerage account, you will pay a quarterly maintenance or custodial fee, which may be waived if your account meets certain asset levels. You will pay transaction-based fees when you buy and sell securities. This means if you make more trades, you will pay more in fees and if you make fewer trades, you will pay less in fees.
With individual securities like stocks, bonds and ETFs, you will pay a transaction-based commission that varies based on the value of the trade.
With investment products such as mutual funds, you will either pay an upfront commission or a back-end sales charge if you sell the position before a set time frame.
You will also pay a flat order handling fee when you buy or sell most securities.
In addition to those described above, you may have different expenses based on the products and services you choose. You may also pay for additional services you request, such as wire transfers.
Impact of fees on your investments
You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.
At Ameriprise, all clients have an opportunity to discuss key financial goals with their financial advisor and track one or two priority goals online at no additional cost. As you continue to work together, you may choose to receive more comprehensive advice from your advisor through a financial planning relationship, as appropriate for your personal situation and financial goals.
Questions to ask your Professional:
- Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?
When we provide you with a recommendation as your broker-dealer or act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the recommendations and investment advice we provide you. Here are some examples to help you understand what this means.
When you purchase an investment product such as a mutual fund or annuity that includes internal fees for management and other services, Ameriprise earns more money than if you purchase an investment that does not have internal fees such as a stock or bond. This is because Ameriprise generally receives a portion of these fees from the service providers to these investment products, which helps fund the cost of maintaining accounts and offering an investment platform to our clients.
When you hold a brokerage or advisory account with us, we’ll earn revenue on your cash within our sweep programs. If your cash is swept to our affiliated bank, then Ameriprise Bank, FSB earns “spread revenue” — the difference between the revenue it earns and the interest it pays you — on your deposits. This spread revenue compensates our bank for the operational costs and risks it bears. Our affiliated clearing brokerdealer receives revenue sharing from our mutual fund sweep program and receives payments from third-party banks with respect to our multi-bank sweep program.
When you purchase an investment product from a company affiliated with Ameriprise, we receive revenue associated with the fees charged by the product for the services provided to you. Examples of affiliated products include: Columbia Threadneedle investments, RiverSource annuities or life insurance and Ameriprise certificates.
Certain products we offer, such as individual bonds, can be purchased from or sold directly to our affiliated clearing broker-dealer through what is referred to as a principal trade. By conducting a principal trade, we are often able to provide greater liquidity and access to securities. Our clearing broker-dealer affiliate generally receives more compensation from principal trades than trades that occur in the market.
Questions to ask your Professional:
- How might your conflicts of interest affect me, and how will you address them?
Our financial advisors are compensated differently depending on their affiliation with us and the type of products and services they provide to you.
With investment advisory services, including both financial planning and managed accounts, your financial advisor receives a percentage of any advisory fees you pay.
With brokerage services, your financial advisor receives a percentage of the brokerage commissions you pay and ongoing fees from certain investment products you may hold.
The percentage of payments described above varies based on the amount of commissions your financial advisor generates annually, number of clients and assets under management.
Some financial advisors also receive a salary from us.
Most of our financial advisors receive gifts and entertainment from the sponsors of products we offer, though we restrict the amount they are allowed to receive consistent with industry regulations.
Certified licenses
Experience
June 21, 2018 - Present
AMERIPRISE FINANCIAL SERVICES, LLC
Office #1: 6529 Whitestown Pkwy, Zionsville, IN 46077-7621Office #3: 10001 Reunion Pl Ste 422, San Antonio, TX 78216-4127Office #4: 5 W North St, Springfield, OH 45504-2544Office #5: 735 N Main St, Springboro, OH 45066-8944Office #6: 8155 26 Mile Rd, Washington, MI 48094-2900Office #7: 1750 Columbus Pike, Delaware, OH 43015-2726Office #8: 121 E 3rd St, Weston, WV 26452-2040Office #9: 555 S Old Woodward Ave Suite 600, Birmingham, MI 48009-6658Office #10: 1301 N Hamilton Rd, Gahanna, OH 43230-6797Office #11: 102 N Lebanon St, Lebanon, IN 46052-2151Office #12: 2110 Tremont Ctr, Columbus, OH 43221-3110Office #13: 2665 N Memorial Dr, Lancaster, OH 43130-1670Office #14: 611 W County Line Rd, Greenwood, IN 46142-4361Office #15: 154 W Main St, St Clairsville, OH 43950-1225Office #16: 101 E Main Ave, Zeeland, MI 49464-1757Office #17: 545 E 8th St, Holland, MI 49423-3714Office #18: 3413 W Shore Dr, Holland, MI 49424-7767Office #19: 1251 E Beltline Ave Ne, Grand Rapids, MI 49525-4503Office #20: 1901 Breton Rd Se, Grand Rapids, MI 49506-4803Office #21: 3580 Henry St, Norton Shores, MI 49441-4358Office #22: 1300 S Beacon Blvd, Grand Haven, MI 49417-2617Office #23: 622 Dykstra Rd, Muskegon, MI 49445-2408Office #24: 1368 Us Highway 131 South, Petoskey, MI 49770-9214Office #25: 150 Ottawa Ave Nw Ste 100, Grand Rapids, MI 49503-2833Office #26: 407 E Main St, Niles, MI 49120-2307Office #27: 290 Columbia Ave E, Battle Creek, MI 49015-4409Office #28: 3614 M 40, Hamilton, MI 49419-9642Office #29: 150 Central Ave, Holland, MI 49423-2833Office #30: 155 W Michigan Ave Ste 101, Kalamazoo, MI 49007-3997Office #31: 101 E Court St, Ludington, MI 49431-1777Office #32: 115 West Dr S, Marshall, MI 49068-1482Office #33: 406 Bay St, Petoskey, MI 49770-2428Office #34: 720 Pleasant St, St Joseph, MI 49085-1242Office #35: 232 W Midland Rd, Auburn, MI 48611-9411Office #36: 21 E Main St Ste 101, Bay City, MI 48708-7495Office #37: 248 Abbe Rd N, Elyria, OH 44035-3713Office #38: 160 Cleveland Ave, Amherst, OH 44001-1618Office #39: 8300 Golden Link Blvd, Northfield, OH 44067-2070Office #40: 1729 State Route 59, Kent, OH 44240-2849Office #41: 3020 S State Route 59, Naperville, IL 60564-8017Office #42: 901 Coshocton Ave, Mount Vernon, OH 43050-1907Office #43: 975 N Court St, Medina, OH 44256-1503Office #44: 4481 Munson St Nw, Canton, OH 44718-3678Office #45: 90 5th St Se, Barberton, OH 44203-4201Office #46: 800 S Main St, Royal Oak, MI 48067-3201Office #47: 105 Court St, Elyria, OH 44035-5526Office #48: 200 W Higham St, Saint Johns, MI 48879-1562Office #49: 1081 Williams Reserve Blvd, Wadsworth, OH 44281-9316Office #50: 5823 Forbes Ave, Pittsburgh, PA 15217-1601Office #51: 1600 Bethel Rd, Columbus, OH 43220-2008Office #52: 6835 Belding Rd Ne, Rockford, MI 49341-8686Office #53: 2 W Main St, Fremont, MI 49412-1136Office #54: 12200 Montgomery Rd, Loveland, OH 45140Office #55: 1227 E Front St, Traverse City, MI 49686-2928Office #56: 200 Public Sq, Cleveland, OH 44114-2316Office #57: 10531 E Washington St, Indianapolis, IN 46229-2609Office #58: 376 Center St, Chardon, OH 44024-1104Office #59: 419 S Lafayette St, South Lyon, MI 48178-1458Office #60: 9880 E Grand River Ave, Brighton, MI 48116-2468Office #61: 1040 N 21st St, Newark, OH 43055-2957Office #62: 2700 W Market St, Fairlawn, OH 44333-4236Office #63: 8671 Owenfield Dr, Powell, OH 43065-7065Office #64: 3770 Massillon Rd, Green, OH 44685-6222Office #65: 405 W 3rd St, Defiance, OH 43512-2136Office #66: 222 S Main St, Bowling Green, OH 43402-3025Office #67: 690 W South Boundary St, Perrysburg, OH 43551-1745Office #68: 2699 Wilmington Rd, New Castle, PA 16105-1529Office #69: 2055 Polaris Pkwy, Columbus, OH 43240-2000Office #70: 211 Grandview Dr Ste 203, Fort Mitchell, KY 41017-2726Office #71: 671 3rd St, Beaver, PA 15009-2115Office #72: 3250 Shenango Valley Fwy, Hermitage, PA 16148-3536Office #73: 2692 Madison Road Suite H4, Cincinnati, OH 45208Office #74: 2739 S Park Rd, Bethel Park, PA 15102-3805Office #75: 8090 Mcknight Rd Ste 1002, Pittsburgh, PA 15237-5761Office #76: 7634 Cox Ln, West Chester Township, OH 45069-6547Office #77: 5704 Us-60, Huntington, WV 25705Office #78: 5085 Deerfield Blvd, Mason, OH 45040-2505Office #79: 15075 24 Mile Rd, Shelby Township, MI 48315-2105Office #80: 11640 Olio Rd, Fishers, IN 46037-7615Office #81: 20291 Route 19, Cranberry Township, PA 16066-6140Office #82: 25 Lowry Dr, West Milton, OH 45383-1320Office #83: 332 E Main St, Ottawa, OH 45875-1946Office #84: 2010 S Lakeman Dr, Bellbrook, OH 45305-1431Office #85: 570 N Countyline St, Fostoria, OH 44830-2115Office #86: 101 N Main St, North Canton, OH 44720-2501Office #87: 1300 W Chicago Blvd, Tecumseh, MI 49286-1258Office #88: 709 Arlington Road, Brookville, OH 45309Office #89: 1344 Pearl Rd, Brunswick, OH 44212-2808Office #90: 202 W Maumee St, Adrian, MI 49221-2087Office #91: 1311 S Mccord Rd, Holland, OH 43528-9141Office #92: 2801 Maple Ave, Zanesville, OH 43701-1715Office #93: 7800 Reynolds Rd, Mentor, OH 44060-5324Office #94: 3950 N Mccord Rd, Toledo, OH 43617-1049Office #95: 4430 Hills And Dales Rd Nw, Canton, OH 44708Office #96: 357 Main St, Huron, OH 44839-1622Office #97: 5338 Wales Ave Nw, Massillon, OH 44646-9381Office #98: 100 E Main St, Gaylord, MI 49735-1302Office #99: 597 W Dussel Dr, Maumee, OH 43537-4025Office #100: 153 Lincoln Way E, Massillon, OH 44646-6615Office #101: 100 E Main St, Owosso, MI 48867-3133Office #102: 2550 Woodville Rd, Northwood, OH 43619-1444Office #103: 4879 Portage St Nw, North Canton, OH 44720-8422Office #104: 215 Three Springs Dr, Weirton, WV 26062-3814Office #105: 5930 Britton Pkwy, Dublin, OH 43016-1207Office #106: 15836 Saint Clair Ave, East Liverpool, OH 43920-8974Office #107: 3120 University Ave, Morgantown, WV 26505-3239Office #108: 1468 Lexington Ave, Mansfield, OH 44907-2630Office #109: 193 S Lincoln Ave, Salem, OH 44460-3101Office #110: 4072 Powell Rd, Powell, OH 43065-7898Office #111: 36 W Broad St, Pataskala, OH 43062-8180Office #112: 200 Main St, Wintersville, OH 43953-3736Office #113: 2400 E Lincoln Hwy, New Lenox, IL 60451-9704Office #114: 10925 N Michigan Rd, Zionsville, IN 46077-0015Office #115: '501 Baldwin St, Jenison, MI 49428-6904Office #116: 657 Lincoln Ave, Cadiz, OH 43907-9498Office #117: 4815 State St, Saginaw, MI 48603-3814Office #118: 2055 Crocker Rd, Westlake, OH 44145-2196Office #119: 45 N Pennsylvania St, Indianapolis, IN 46204-3139Office #120: 372 S State Road 135, Greenwood, IN 46142-1422Office #121: 8610 W Grand River Ave, Brighton, MI 48116-2319Office #122: 2185 W 12th St, Erie, PA 16505-4804Office #123: 6501 Richfield Pkwy, Richfield, MN 55423-6401Office #124: 1207 W Oak St, Zionsville, IN 46077-1262Office #125: 4930 N Milwaukee Ave, Chicago, IL 60630-2106Office #126: 1267 N Emerson Ave, Greenwood, IN 46143-9763Office #127: 1400 W Fullerton Ave, Chicago, IL 60614Office #128: 8420 Washington St, Chagrin Falls, OH 44023-4512Office #129: 4100 W 144th Ave, Broomfield, CO 80023-9510Office #130: 5850 Neal Ave N, Oak Park Heights, MN 55082-2017Office #131: 232 W 3rd St, Dover, OH 44622-2969Office #132: 98 N Main St, Chagrin Falls, OH 44022-3011Office #133: 41 S High St Fl 4th, Columbus, OH 43215-3406Office #134: 500 Lee St E, Charleston, WV 25301-3200Office #135: 7 Easton Oval, Columbus, OH 43219-6010Office #136: 12053 W Alameda Pkwy, Lakewood, CO 80228-2701Office #137: 525 Vine St, Cincinnati, OH 45202-3121Office #138: 2445 84th St Sw, Byron Center, MI 49315-9625Office #139: 236 S Main St, Findlay, OH 45840-3352Office #140: 3380 Denmark Ave, Eagan, MN 55121-2297Office #141: 222 N La Salle St Ste 130, Chicago, IL 60601-1003Office #142: 419 Beaver St, Sewickley, PA 15143-1501Office #143: 790 N State St, Westerville, OH 43082-9066Office #144: 5555 Bull Valley Rd, Mchenry, IL 60050-7489Office #145: 2045 E Algonquin Rd, Algonquin, IL 60102-9603Office #146: 235 E Main St, Midland, MI 48640-5137Office #147: 8936 Darrow Rd, Twinsburg, OH 44087-2288Office #148: 3899 Silver Lake Rd Ne, Saint Anthony, MN 55421-4226Office #149: 2787 E 2nd Ave, Denver, CO 80206Office #150: 1600 Bethel Rd, Columbus, OH 43220-2008Office #151: 6700 Fairview Rd, Charlotte, NC 28210-3324Office #152: 606a S Main St, Greenville, SC 29601-2505Office #153: 677 King St Ste 102, Charleston, SC 29403-7127Office #154: 36505 Euclid Ave, Willoughby, OH 44094-4449Office #155: 4366 Main Ave, Ashtabula, OH 44004-6801Office #156: 578 S Westview Dr, Weston Salem, NC 27103-1811Office #157: 6505 Market Ave N, Canton, OH 44721Office #158: 36 W Jefferson St, Jefferson, OH 44047-1088Office #159: 2681 Mosside Blvd, Monroeville, PA 15146Office #160: 10409 Main St, New Middletwn, OH 44442-8761Office #161: 6010 Mahoning Ave, Youngstown, OH 44515-2226Office #162: 358 W Irving Park Rd, Wood Dale, IL 60191-1322Office #163: 7235 South Ave Unit 224, Youngstown, OH 44512-3636Office #164: 1801 Plymouth Rd, Minnetonka, MN 55305-1963Office #165: 2607 London Groveport Rd, Grove City, OH 43123-9844Office #166: 15525 34th Ave N, Plymouth, MN 55447-1481Office #167: 44190 5 Mile Rd, Northville, MI 48168-9504Office #168: 1 W Devon Ave, Park Ridge, IL 60068-5509Office #169: 6256 Rivers Bend Dr, Maineville, OH 45039-7718Office #170: 30068 Schoenherr Rd, Warren, MI 48088-3125Office #171: 13401 Middlebelt Rd, Livonia, MI 48150-2229Office #172: 6755 Avery Muirfield Dr, Dublin, OH 43016-7251Office #173: 220 Market St Ste F, New Albany, OH 43054-9031Office #174: 1441 Waukegan Rd, Glenview, IL 60025-2120Office #175: 30 Springside Dr, Akron, OH 44333-4560Office #176: 1425 S Court St, Circleville, OH 43113-2166Office #177: 19100 Hall Rd, Clinton Township, MI 48038-6915Office #178: 132 W Main St, Ashland, OH 44805-2103Office #179: 4280 E Court St, Burton, MI 48509-1816Office #180: 15820 15 Mile Rd, Fraser, MI 48026-3700Office #181: 10240 S Cicero Ave, Oak Lawn, IL 60453-4044Office #182: 1902 Warrensville Center Rd, Cleveland, OH 44121-2607Office #183: 2305 Second St, Cuyahoga Falls, OH 44221-2529Office #184: 45133 Hayes Rd, Shelby Township, MI 48315-6209Office #185: 602 S Monroe St, Monroe, MI 48161-1441Office #186: 3740 W Dublin Granville Rd, Columbus, OH 43235-7988Office #187: 49125 Grand River Ave, Novi, MI 48374-1205Office #188: 16350 Fort St, Southgate, MI 48195-1421Office #189: 5050 Marsh Rd Ste 1, Okemos, MI 48864-1196Office #190: 4352 Highland Rd, Waterford, MI 48328-2139Office #191: 11425 S Saginaw St, Grand Blanc, MI 48439-1205Office #192: 50 N Main St, Mount Prospect, IL 60056-2433Office #193: 270 Clinton Ave, Saint Clair, MI 48079-5089Office #194: 3460 Medina Rd, Medina, OH 44256-8296Office #195: 2100 S Elmhurst Rd, Mount Prospect, IL 60056-7500Office #196: 2701 Plymouth Rd, Ann Arbor, MI 48105-2427Office #197: 6101 W Saginaw Hwy, Lansing, MI 48917-2466Office #198: 2950 S State St, Ann Arbor, MI 48104-7102Office #199: 1946 N Cleveland Massillon Rd, Akron, OH 44333-1817Office #200: 1709 N Saginaw Rd, Midland, MI 48640-2631Office #201: 1984 N Opdyke Rd Unit 1988, Auburn Hills, MI 48326-2662Office #202: 8301 W Lawrence Ave, Norridge, IL 60706-3129Office #203: 32900 23 Mile Rd, New Baltimore, MI 48047-1988Office #204: 331 Highway 10 Ne, Blaine, MN 55434-1022Office #205: 4460 Mahoning Ave Nw, Warren, OH 44483-1933Office #206: 8226 E Market St, Warren, OH 44484-2337Office #207: 1415 W North Ave, Melrose Park, IL 60160-1413Office #208: 606 Prairie Center Dr, Eden Prairie, MN 55344-5320Office #209: 16450 County Road 30, Maple Grove, MN 55311-1219Office #210: 340 S Main St, Franklin, OH 45005-2228Office #211: 12122 Lebanon Rd, Cincinnati, OH 45241-1730Office #212: 3103 Dixie Hwy, Edgewood, KY 41018-4009Office #213: 2514 Dixie Highway, Ft. Mitchell, KY 41017Office #214: 6666 Industrial Rd, Florence, KY 41042-3016Office #215: 7783 5 Mile Rd, Cincinnati, OH 45230-2371Office #216: 949 Conner St, Noblesville, IN 46060-2622Office #217: 108 E Main St, Danville, IN 46122-1820Office #218: 7717 E Us Hwy 36, Avon, IN 46123-7973Office #219: 2252 Burlington Pike, Burlington, KY 41005-7831Office #220: 734 Ohio Pike, Cincinnati, OH 45245-2134Office #221: 4411 Lake Forest Dr, Blue Ash, OH 45242-3725Office #222: 1155 S Rangeline Rd Ste 140, Carmel, IN 46032-3771Office #223: 1555 W 5th Ave, Columbus, OH 43212-2405Office #224: 3003 E Main St, Columbus, OH 43209-2616Office #225: 800 High St, Worthington, OH 43085-4160Office #226: 125 Postage Cir, Pickerington, OH 43147-7000Office #227: 3650 Fishinger Blvd, Hilliard, OH 43026-9271Office #228: 17 S High St, Columbus, OH 43215-3413Office #229: 2227 Stringtown Rd, Grove City, OH 43123-2928Office #230: 631 W Market St, Lima, OH 45801-4603Office #231: 220 W 5th St, Marysville, OH 43040-1112Office #232: 3351 Navarre Ave, Oregon, OH 43616-3313Office #233: 6655 W Central Ave, Toledo, OH 43617-1029Office #234: 120 Madison St, Port Clinton, OH 43452Office #235: 13866 Pearl Rd, Strongsville, OH 44136-8702Office #236: 6660 Ridge Rd, Parma, OH 44129-5531Office #237: 19975 Center Ridge Rd, Rocky River, OH 44116-3640Office #238: 33175 Aurora Rd, Solon, OH 44139-3613Office #239: 9240 Market Square Dr, Streetsboro, OH 44241-5207Office #240: 230 Cedar Ave, Ravenna, OH 44266-2738Office #241: 129 High St, Wadsworth, OH 44281-1857Office #242: 4427 Kent Rd, Stow, OH 44224-4332Office #243: 6341 Mayfield Rd, Mayfield Heights, OH 44124-3212Office #244: 3199 Berea Rd, Cleveland, OH 44111-1504Office #245: 11801 Clifton Blvd, Lakewood, OH 44107-2058Office #246: 24615 Chagrin Blvd, Beachwood, OH 44122-5609Office #247: 919 5th Ave, Huntingron, WV 25701-2011Office #248: 230 W Pike St, Clarksburg, WV 26301-2762Office #249: 6705 Orchard Lake Rd, West Bloomfield, MI 48322-3414Office #250: 50650 Gratiot Ave, Chesterfield, MI 48051-3130Office #251: 791 W Big Beaver Rd, Troy, MI 48084-4931Office #252: 41801 Garfield Rd, Clinton Township, MI 48038-1965Office #253: 1531 W Lane Ave, Columbus, OH 43221-3920Office #254: 351 N Main St, Granton, OH 44044-1203June 21, 2018 - Present
AMERIPRISE FINANCIAL SERVICES, LLC
Office #1: 6529 Whitestown Pkwy, Zionsville, IN 46077-7621Office #2: 10001 Reunion Pl Ste 422, San Antonio, TX 78216-4127Office #3: 5 W North St, Springfield, OH 45504-2544Office #4: 735 N Main St, Springboro, OH 45066-8944Office #5: 8155 26 Mile Rd, Washington, MI 48094-2900Office #6: 1750 Columbus Pike, Delaware, OH 43015-2726Office #7: 121 E 3rd St, Weston, WV 26452-2040Office #8: 555 S Old Woodward Ave Suite 600, Birmingham, MI 48009-6658Office #9: 1301 N Hamilton Rd, Gahanna, OH 43230-6797Office #10: 102 N Lebanon St, Lebanon, IN 46052-2151Office #11: 2110 Tremont Ctr, Columbus, OH 43221-3110Office #12: 2665 N Memorial Dr, Lancaster, OH 43130-1670Office #13: 611 W County Line Rd, Greenwood, IN 46142-4361Office #14: 154 W Main St, St Clairsville, OH 43950-1225Office #15: 101 E Main Ave, Zeeland, MI 49464-1757Office #16: 545 E 8th St, Holland, MI 49423-3714Office #17: 3413 W Shore Dr, Holland, MI 49424-7767Office #18: 1251 E Beltline Ave Ne, Grand Rapids, MI 49525-4503Office #19: 1901 Breton Rd Se, Grand Rapids, MI 49506-4803Office #20: 3580 Henry St, Norton Shores, MI 49441-4358Office #21: 1300 S Beacon Blvd, Grand Haven, MI 49417-2617Office #22: 622 Dykstra Rd, Muskegon, MI 49445-2408Office #23: 1368 Us Highway 131 South, Petoskey, MI 49770-9214Office #24: 150 Ottawa Ave Nw Ste 100, Grand Rapids, MI 49503-2833Office #25: 407 E Main St, Niles, MI 49120-2307Office #26: 290 Columbia Ave E, Battle Creek, MI 49015-4409Office #27: 3614 M 40, Hamilton, MI 49419-9642Office #28: 150 Central Ave, Holland, MI 49423-2833Office #29: 155 W Michigan Ave Ste 101, Kalamazoo, MI 49007-3997Office #30: 101 E Court St, Ludington, MI 49431-1777Office #31: 115 West Dr S, Marshall, MI 49068-1482Office #32: 406 Bay St, Petoskey, MI 49770-2428Office #33: 720 Pleasant St, St Joseph, MI 49085-1242Office #34: 232 W Midland Rd, Auburn, MI 48611-9411Office #35: 21 E Main St Ste 101, Bay City, MI 48708-7495Office #36: 248 Abbe Rd N, Elyria, OH 44035-3713Office #37: 160 Cleveland Ave, Amherst, OH 44001-1618Office #38: 8300 Golden Link Blvd, Northfield, OH 44067-2070Office #39: 1729 State Route 59, Kent, OH 44240-2849Office #40: 3020 S State Route 59, Naperville, IL 60564-8017Office #41: 901 Coshocton Ave, Mount Vernon, OH 43050-1907Office #42: 975 N Court St, Medina, OH 44256-1503Office #43: 4481 Munson St Nw, Canton, OH 44718-3678Office #44: 90 5th St Se, Barberton, OH 44203-4201Office #45: 800 S Main St, Royal Oak, MI 48067-3201Office #46: 105 Court St, Elyria, OH 44035-5526Office #47: 200 W Higham St, Saint Johns, MI 48879-1562Office #48: 1081 Williams Reserve Blvd, Wadsworth, OH 44281-9316Office #49: 5823 Forbes Ave, Pittsburgh, PA 15217-1601Office #50: 1600 Bethel Rd, Columbus, OH 43220-2008Office #51: 6835 Belding Rd Ne, Rockford, MI 49341-8686Office #52: 2 W Main St, Fremont, MI 49412-1136Office #53: 12200 Montgomery Rd, Loveland, OH 45140Office #54: 1227 E Front St, Traverse City, MI 49686-2928Office #55: 200 Public Sq, Cleveland, OH 44114-2316Office #56: 10531 E Washington St, Indianapolis, IN 46229-2609Office #57: 376 Center St, Chardon, OH 44024-1104Office #58: 419 S Lafayette St, South Lyon, MI 48178-1458Office #59: 9880 E Grand River Ave, Brighton, MI 48116-2468Office #60: 1040 N 21st St, Newark, OH 43055-2957Office #61: 2700 W Market St, Fairlawn, OH 44333-4236Office #62: 8671 Owenfield Dr, Powell, OH 43065-7065Office #63: 3770 Massillon Rd, Green, OH 44685-6222Office #64: 405 W 3rd St, Defiance, OH 43512-2136Office #65: 222 S Main St, Bowling Green, OH 43402-3025Office #66: 690 W South Boundary St, Perrysburg, OH 43551-1745Office #67: 2699 Wilmington Rd, New Castle, PA 16105-1529Office #68: 2055 Polaris Pkwy, Columbus, OH 43240-2000Office #69: 211 Grandview Dr Ste 203, Fort Mitchell, KY 41017-2726Office #70: 671 3rd St, Beaver, PA 15009-2115Office #71: 3250 Shenango Valley Fwy, Hermitage, PA 16148-3536Office #72: 2692 Madison Road Suite H4, Cincinnati, OH 45208Office #73: 2739 S Park Rd, Bethel Park, PA 15102-3805Office #74: 8090 Mcknight Rd Ste 1002, Pittsburgh, PA 15237-5761Office #75: 7634 Cox Ln, West Chester Township, OH 45069-6547Office #76: 5704 Us-60, Huntington, WV 25705Office #77: 5085 Deerfield Blvd, Mason, OH 45040-2505Office #78: 15075 24 Mile Rd, Shelby Township, MI 48315-2105Office #79: 11640 Olio Rd, Fishers, IN 46037-7615Office #80: 20291 Route 19, Cranberry Township, PA 16066-6140Office #81: 25 Lowry Dr, West Milton, OH 45383-1320Office #82: 332 E Main St, Ottawa, OH 45875-1946Office #83: 2010 S Lakeman Dr, Bellbrook, OH 45305-1431Office #84: 570 N Countyline St, Fostoria, OH 44830-2115Office #85: 101 N Main St, North Canton, OH 44720-2501Office #86: 1300 W Chicago Blvd, Tecumseh, MI 49286-1258Office #87: 709 Arlington Road, Brookville, OH 45309Office #88: 1344 Pearl Rd, Brunswick, OH 44212-2808Office #89: 202 W Maumee St, Adrian, MI 49221-2087Office #90: 1311 S Mccord Rd, Holland, OH 43528-9141Office #91: 2801 Maple Ave, Zanesville, OH 43701-1715Office #92: 7800 Reynolds Rd, Mentor, OH 44060-5324Office #93: 3950 N Mccord Rd, Toledo, OH 43617-1049Office #94: 4430 Hills And Dales Rd Nw, Canton, OH 44708Office #95: 357 Main St, Huron, OH 44839-1622Office #96: 5338 Wales Ave Nw, Massillon, OH 44646-9381Office #97: 100 E Main St, Gaylord, MI 49735-1302Office #98: 597 W Dussel Dr, Maumee, OH 43537-4025Office #99: 153 Lincoln Way E, Massillon, OH 44646-6615Office #100: 100 E Main St, Owosso, MI 48867-3133Office #101: 2550 Woodville Rd, Northwood, OH 43619-1444Office #102: 4879 Portage St Nw, North Canton, OH 44720-8422Office #103: 215 Three Springs Dr, Weirton, WV 26062-3814Office #104: 5930 Britton Pkwy, Dublin, OH 43016-1207Office #105: 15836 Saint Clair Ave, East Liverpool, OH 43920-8974Office #106: 3120 University Ave, Morgantown, WV 26505-3239Office #107: 1468 Lexington Ave, Mansfield, OH 44907-2630Office #108: 193 S Lincoln Ave, Salem, OH 44460-3101Office #109: 4072 Powell Rd, Powell, OH 43065-7898Office #110: 36 W Broad St, Pataskala, OH 43062-8180Office #111: 200 Main St, Wintersville, OH 43953-3736Office #112: 2400 E Lincoln Hwy, New Lenox, IL 60451-9704Office #113: 10925 N Michigan Rd, Zionsville, IN 46077-0015Office #114: '501 Baldwin St, Jenison, MI 49428-6904Office #115: 657 Lincoln Ave, Cadiz, OH 43907-9498Office #116: 4815 State St, Saginaw, MI 48603-3814Office #117: 2055 Crocker Rd, Westlake, OH 44145-2196Office #118: 45 N Pennsylvania St, Indianapolis, IN 46204-3139Office #119: 372 S State Road 135, Greenwood, IN 46142-1422Office #120: 8610 W Grand River Ave, Brighton, MI 48116-2319Office #121: 2185 W 12th St, Erie, PA 16505-4804Office #122: 6501 Richfield Pkwy, Richfield, MN 55423-6401Office #123: 1207 W Oak St, Zionsville, IN 46077-1262Office #124: 4930 N Milwaukee Ave, Chicago, IL 60630-2106Office #125: 1267 N Emerson Ave, Greenwood, IN 46143-9763Office #126: 1400 W Fullerton Ave, Chicago, IL 60614Office #127: 8420 Washington St, Chagrin Falls, OH 44023-4512Office #128: 4100 W 144th Ave, Broomfield, CO 80023-9510Office #129: 5850 Neal Ave N, Oak Park Heights, MN 55082-2017Office #130: 232 W 3rd St, Dover, OH 44622-2969Office #131: 98 N Main St, Chagrin Falls, OH 44022-3011Office #132: 41 S High St Fl 4th, Columbus, OH 43215-3406Office #133: 500 Lee St E, Charleston, WV 25301-3200Office #134: 7 Easton Oval, Columbus, OH 43219-6010Office #135: 12053 W Alameda Pkwy, Lakewood, CO 80228-2701Office #136: 525 Vine St, Cincinnati, OH 45202-3121Office #137: 2445 84th St Sw, Byron Center, MI 49315-9625Office #138: 236 S Main St, Findlay, OH 45840-3352Office #139: 3380 Denmark Ave, Eagan, MN 55121-2297Office #140: 222 N La Salle St Ste 130, Chicago, IL 60601-1003Office #141: 419 Beaver St, Sewickley, PA 15143-1501Office #142: 790 N State St, Westerville, OH 43082-9066Office #143: 5555 Bull Valley Rd, Mchenry, IL 60050-7489Office #144: 2045 E Algonquin Rd, Algonquin, IL 60102-9603Office #145: 235 E Main St, Midland, MI 48640-5137Office #146: 8936 Darrow Rd, Twinsburg, OH 44087-2288Office #147: 3899 Silver Lake Rd Ne, Saint Anthony, MN 55421-4226Office #148: 2787 E 2nd Ave, Denver, CO 80206Office #149: 1600 Bethel Rd, Columbus, OH 43220-2008Office #150: 6700 Fairview Rd, Charlotte, NC 28210-3324Office #151: 606a S Main St, Greenville, SC 29601-2505Office #152: 677 King St Ste 102, Charleston, SC 29403-7127Office #153: 36505 Euclid Ave, Willoughby, OH 44094-4449Office #154: 4366 Main Ave, Ashtabula, OH 44004-6801Office #155: 578 S Westview Dr, Weston Salem, NC 27103-1811Office #156: 6505 Market Ave N, Canton, OH 44721Office #157: 36 W Jefferson St, Jefferson, OH 44047-1088Office #158: 2681 Mosside Blvd, Monroeville, PA 15146Office #159: 10409 Main St, New Middletwn, OH 44442-8761Office #160: 6010 Mahoning Ave, Youngstown, OH 44515-2226Office #161: 358 W Irving Park Rd, Wood Dale, IL 60191-1322Office #162: 7235 South Ave Unit 224, Youngstown, OH 44512-3636Office #163: 1801 Plymouth Rd, Minnetonka, MN 55305-1963Office #164: 2607 London Groveport Rd, Grove City, OH 43123-9844Office #165: 15525 34th Ave N, Plymouth, MN 55447-1481Office #166: 44190 5 Mile Rd, Northville, MI 48168-9504Office #167: 1 W Devon Ave, Park Ridge, IL 60068-5509Office #168: 6256 Rivers Bend Dr, Maineville, OH 45039-7718Office #169: 30068 Schoenherr Rd, Warren, MI 48088-3125Office #170: 13401 Middlebelt Rd, Livonia, MI 48150-2229Office #171: 6755 Avery Muirfield Dr, Dublin, OH 43016-7251Office #172: 220 Market St Ste F, New Albany, OH 43054-9031Office #173: 1441 Waukegan Rd, Glenview, IL 60025-2120Office #174: 30 Springside Dr, Akron, OH 44333-4560Office #175: 1425 S Court St, Circleville, OH 43113-2166Office #176: 19100 Hall Rd, Clinton Township, MI 48038-6915Office #177: 132 W Main St, Ashland, OH 44805-2103Office #178: 4280 E Court St, Burton, MI 48509-1816Office #179: 15820 15 Mile Rd, Fraser, MI 48026-3700Office #180: 10240 S Cicero Ave, Oak Lawn, IL 60453-4044Office #181: 1902 Warrensville Center Rd, Cleveland, OH 44121-2607Office #182: 2305 Second St, Cuyahoga Falls, OH 44221-2529Office #183: 45133 Hayes Rd, Shelby Township, MI 48315-6209Office #184: 602 S Monroe St, Monroe, MI 48161-1441Office #185: 3740 W Dublin Granville Rd, Columbus, OH 43235-7988Office #186: 49125 Grand River Ave, Novi, MI 48374-1205Office #187: 16350 Fort St, Southgate, MI 48195-1421Office #188: 5050 Marsh Rd Ste 1, Okemos, MI 48864-1196Office #189: 4352 Highland Rd, Waterford, MI 48328-2139Office #190: 11425 S Saginaw St, Grand Blanc, MI 48439-1205Office #191: 50 N Main St, Mount Prospect, IL 60056-2433Office #192: 270 Clinton Ave, Saint Clair, MI 48079-5089Office #193: 3460 Medina Rd, Medina, OH 44256-8296Office #194: 2100 S Elmhurst Rd, Mount Prospect, IL 60056-7500Office #195: 2701 Plymouth Rd, Ann Arbor, MI 48105-2427Office #196: 6101 W Saginaw Hwy, Lansing, MI 48917-2466Office #197: 2950 S State St, Ann Arbor, MI 48104-7102Office #198: 1946 N Cleveland Massillon Rd, Akron, OH 44333-1817Office #199: 1709 N Saginaw Rd, Midland, MI 48640-2631Office #200: 1984 N Opdyke Rd Unit 1988, Auburn Hills, MI 48326-2662Office #201: 8301 W Lawrence Ave, Norridge, IL 60706-3129Office #202: 32900 23 Mile Rd, New Baltimore, MI 48047-1988Office #203: 331 Highway 10 Ne, Blaine, MN 55434-1022Office #204: 4460 Mahoning Ave Nw, Warren, OH 44483-1933Office #205: 8226 E Market St, Warren, OH 44484-2337Office #206: 1415 W North Ave, Melrose Park, IL 60160-1413Office #207: 606 Prairie Center Dr, Eden Prairie, MN 55344-5320Office #208: 16450 County Road 30, Maple Grove, MN 55311-1219Office #209: 340 S Main St, Franklin, OH 45005-2228Office #210: 12122 Lebanon Rd, Cincinnati, OH 45241-1730Office #211: 3103 Dixie Hwy, Edgewood, KY 41018-4009Office #212: 2514 Dixie Highway, Ft. Mitchell, KY 41017Office #213: 6666 Industrial Rd, Florence, KY 41042-3016Office #214: 7783 5 Mile Rd, Cincinnati, OH 45230-2371Office #215: 949 Conner St, Noblesville, IN 46060-2622Office #216: 108 E Main St, Danville, IN 46122-1820Office #217: 7717 E Us Hwy 36, Avon, IN 46123-7973Office #218: 2252 Burlington Pike, Burlington, KY 41005-7831Office #219: 734 Ohio Pike, Cincinnati, OH 45245-2134Office #220: 4411 Lake Forest Dr, Blue Ash, OH 45242-3725Office #221: 1155 S Rangeline Rd Ste 140, Carmel, IN 46032-3771Office #222: 1555 W 5th Ave, Columbus, OH 43212-2405Office #223: 3003 E Main St, Columbus, OH 43209-2616Office #224: 800 High St, Worthington, OH 43085-4160Office #225: 125 Postage Cir, Pickerington, OH 43147-7000Office #226: 3650 Fishinger Blvd, Hilliard, OH 43026-9271Office #227: 17 S High St, Columbus, OH 43215-3413Office #228: 2227 Stringtown Rd, Grove City, OH 43123-2928Office #229: 631 W Market St, Lima, OH 45801-4603Office #230: 220 W 5th St, Marysville, OH 43040-1112Office #231: 3351 Navarre Ave, Oregon, OH 43616-3313Office #232: 6655 W Central Ave, Toledo, OH 43617-1029Office #233: 120 Madison St, Port Clinton, OH 43452Office #234: 13866 Pearl Rd, Strongsville, OH 44136-8702Office #235: 6660 Ridge Rd, Parma, OH 44129-5531Office #236: 19975 Center Ridge Rd, Rocky River, OH 44116-3640Office #237: 33175 Aurora Rd, Solon, OH 44139-3613Office #238: 9240 Market Square Dr, Streetsboro, OH 44241-5207Office #239: 230 Cedar Ave, Ravenna, OH 44266-2738Office #240: 129 High St, Wadsworth, OH 44281-1857Office #241: 4427 Kent Rd, Stow, OH 44224-4332Office #242: 6341 Mayfield Rd, Mayfield Heights, OH 44124-3212Office #243: 3199 Berea Rd, Cleveland, OH 44111-1504Office #244: 11801 Clifton Blvd, Lakewood, OH 44107-2058Office #245: 24615 Chagrin Blvd, Beachwood, OH 44122-5609Office #246: 919 5th Ave, Huntingron, WV 25701-2011Office #247: 230 W Pike St, Clarksburg, WV 26301-2762Office #248: 6705 Orchard Lake Rd, West Bloomfield, MI 48322-3414Office #249: 50650 Gratiot Ave, Chesterfield, MI 48051-3130Office #250: 791 W Big Beaver Rd, Troy, MI 48084-4931Office #251: 41801 Garfield Rd, Clinton Township, MI 48038-1965Office #252: 1531 W Lane Ave, Columbus, OH 43221-3920Office #253: 351 N Main St, Granton, OH 44044-1203June 11, 2007 - July 25, 2007
CETERA INVESTMENT SERVICES LLC
May 30, 2007 - June 11, 2007
CETERA INVESTMENT SERVICES LLC
May 30, 2007 - June 11, 2007
CETERA INVESTMENT SERVICES LLC
May 25, 2007 - October 8, 2018
INVESTMENT PROFESSIONALS, INC.
May 25, 2007 - November 30, 2018
INVESTMENT PROFESSIONALS, INC.
July 27, 2006 - May 29, 2007
DFC INVESTOR SERVICES
February 14, 2005 - May 29, 2007
DFC INVESTOR SERVICES
January 29, 2002 - February 17, 2005
EDWARD JONES
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
(6/21/2018)
(7/26/2018)
(6/21/2018)
(10/23/2023)
(6/21/2018)
(6/21/2018)
(7/3/2018)
(7/8/2025)
(10/19/2023)
(4/17/2026)
Exams
FINRA
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.
