Alison S. Perrin
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.
Alison Shirley Perrin, CFP®, who also goes by Alison Shirley, was a registered financial professional .
Alison is a previously registered financial professional and started their career in finance in 2002. Alison had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2008
Experience
September 19, 2017 - November 24, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
September 19, 2017 - November 24, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
January 11, 2016 - September 22, 2017
JANNEY MONTGOMERY SCOTT LLC
January 11, 2016 - September 22, 2017
JANNEY MONTGOMERY SCOTT LLC
June 3, 2015 - January 11, 2016
PRUCO SECURITIES, LLC.
May 26, 2015 - January 11, 2016
PRUCO SECURITIES, LLC.
January 2, 2015 - May 19, 2015
MSI FINANCIAL SERVICES, INC.
January 2, 2015 - May 19, 2015
MSI FINANCIAL SERVICES, INC.
October 9, 2013 - January 2, 2015
NEW ENGLAND SECURITIES
October 9, 2013 - January 2, 2015
NEW ENGLAND SECURITIES
March 14, 2013 - October 7, 2013
CENTAURUS FINANCIAL, INC.
March 14, 2013 - October 7, 2013
CENTAURUS FINANCIAL, INC.
November 14, 2006 - March 14, 2013
MSI FINANCIAL SERVICES, INC.
November 10, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 10, 2006 - March 14, 2013
MSI FINANCIAL SERVICES, INC.
September 16, 2004 - October 24, 2006
CANTELLA & CO., INC.
August 12, 2003 - October 24, 2006
CANTELLA & CO., INC.
March 1, 2002 - July 28, 2003
INVESTACORP, 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
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.
Company Information
AMERIPRISE FINANCIAL SERVICES, LLC
Financial AdvisorCRD#: 6363TRUST BUT VERIFY
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