Edward J. Wetzel
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.
Edward Joseph Wetzel was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1971. Edward had worked at 12 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2005 - March 7, 2007
AMERIPRISE ADVISOR SERVICES, INC.
April 12, 2001 - November 14, 2005
ADVEST, INC.
August 13, 1992 - May 11, 2001
HEFREN-TILLOTSON, INC.
October 11, 1991 - August 10, 1992
CADARET, GRANT & CO., INC.
August 9, 1989 - October 29, 1991
LOCUST STREET SECURITIES, INC.
June 18, 1989 - August 5, 1989
SUNAMERICA SECURITIES, INC.
November 29, 1988 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
August 5, 1983 - December 3, 1988
MUTUAL SERVICE CORPORATION
November 26, 1982 - August 1, 1983
P. V. ANDERSON, INC.
November 11, 1982 - August 2, 1983
STRUCTURED SHELTERS SECURITIES, INC.
December 30, 1977 - August 8, 1983
GUARDIAN INVESTOR SERVICES LLC
August 24, 1971 - July 23, 1977
METROPOLITAN LIFE INSURANCE COMPANY
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 1
Date: 8/19/1971
Registered Representative ExaminationCurrent Firm
AMERIPRISE ADVISOR SERVICES, INC.
CRD#: 5979 / SEC#: , 8-16752
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING CORPORATION | SHAREHOLDER | |
| ANDREW, DAVID CRESWELL | CHIEF LEGAL OFFICER, SENIOR VICE PRESIDENT | 2984773 |
| CLIFFORD, TIMOTHY JOHN | VP, ENTERPRISE SCALE & TAX PARTNERING | 1061464 |
| CRACCHIOLO, JAMES MICHAEL | DIRECTOR | 4251944 |
| DOYLE, DAVID TIMOTHY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2552281 |
| FILDES, LISA SUE | SECRETARY | 1596975 |
| FROUDE, DONALD E | PRESIDENT, CEO, DIRECTOR | 1002120 |
| GESCHKE, DAVID EDWARD | SVP, CHIEF OPERATING OFFICER, DIVISIONAL DIRECTOR, DIRECTOR | 1618774 |
| MCASKIN, DAN MICHAEL | VICE PRESIDENT, DIRECTOR OF OPERATIONS, DIRECTOR | 1099566 |
| O'CONNELL, PATRICK HUGH | SVP, DIVISIONAL DIRECTOR | 2246285 |
| SCHERMAN, JEFFREY JOSEPH | CFO | 4338820 |
| SMITH, ERNEST ROBERT | VICE PRESIDENT | 2362379 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
| TOWNSEND, MICHAEL WILLIAM | VP, DIVISIONAL DIRECTOR | 2244230 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 165 |
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.
