Kenneth A. Butdorf
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.
Kenneth Alan Butdorf, who also goes by Ken Butdorf, Kenneth A Butdorf, Ken A Butdorf, Ken Butdorf, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2005. Kenneth had worked at 11 firms and has passed the Series 66, Series 63, 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
December 15, 2021 - September 22, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
October 14, 2019 - December 31, 2020
PFS INVESTMENTS INC.
October 31, 2016 - August 24, 2018
J.P. MORGAN SECURITIES LLC
October 24, 2016 - August 24, 2018
J.P. MORGAN SECURITIES LLC
March 31, 2016 - October 11, 2016
CETERA INVESTMENT ADVISERS LLC
March 24, 2016 - October 11, 2016
CETERA INVESTMENT SERVICES LLC
May 16, 2013 - November 17, 2015
BBVA SECURITIES INC.
October 15, 2010 - November 17, 2015
PNC MANAGED ACCOUNT SOLUTIONS, INC.
June 18, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
June 18, 2010 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
March 10, 2009 - June 14, 2010
CUNA BROKERAGE SERVICES, INC.
March 10, 2009 - June 14, 2010
CUNA BROKERAGE SERVICES, INC.
October 23, 2008 - February 4, 2009
EDWARD JONES
July 20, 2005 - February 4, 2009
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
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.
