Deborah Meitzler
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.
Deborah Meitzler, who also goes by Deborah Ruth Meitzler, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 2004. Deborah had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2020 - June 29, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
January 21, 2020 - June 29, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
April 5, 2017 - September 25, 2019
MORGAN STANLEY
April 4, 2017 - September 25, 2019
MORGAN STANLEY
January 2, 2015 - August 26, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
September 7, 2012 - December 31, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
September 6, 2012 - August 26, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
April 21, 2010 - October 1, 2012
U.S. BANCORP ADVISORS, LLC
March 11, 2010 - October 1, 2012
U.S. BANCORP ADVISORS, LLC
November 22, 2005 - February 26, 2010
VISION INVESTMENT SERVICES, INC.
November 8, 2005 - March 1, 2010
NORTHERN TRUST SECURITIES, INC.
December 16, 2004 - November 2, 2005
CITICORP INVESTMENT SERVICES
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.
