Patrick A. Macabasco
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.
Patrick Anthony Macabasco, who also goes by Patrick A Macabasco, Patrick Macabasco, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2002. Patrick had worked at 6 firms and has passed the Series 66, Series 7TO, 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
August 4, 2023 - January 8, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
July 20, 2023 - January 8, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
January 2, 2018 - July 31, 2019
BB&T SECURITIES, LLC
January 2, 2018 - July 31, 2019
BB&T SECURITIES, LLC
June 28, 2017 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
June 27, 2017 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
December 21, 2009 - June 15, 2017
WELLS FARGO CLEARING SERVICES, LLC
December 17, 2009 - June 15, 2017
WELLS FARGO CLEARING SERVICES, LLC
April 4, 2007 - January 26, 2009
WELLS FARGO CLEARING SERVICES, LLC
March 27, 2007 - January 26, 2009
WELLS FARGO CLEARING SERVICES, LLC
December 3, 2003 - June 16, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 20, 2003 - June 16, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 15, 2002 - November 14, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
September 4, 2002 - November 14, 2003
IDS LIFE INSURANCE COMPANY
September 4, 2002 - November 14, 2003
AMERIPRISE FINANCIAL 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
Series 7TO
Date: 7/20/2023
General Securities Representative ExaminationCurrent 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.
