MA
Mohd Arif
AMERICAN ENTERPRISE INVESTMENT SERVICES
Gurugram Haryana, 122015
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CRD#: 6214504
MA
Professional summary
Mohd Arif is a registered financial professional currently at AMERICAN ENTERPRISE INVESTMENT SERVICES INC. .
Mohd is registered as a RR (Registered Representative) and started their career in finance in 2019. Mohd has worked at 2 firms and has passed the Series 63, Series 7TO, Series 99TO, Series 6TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Mohd Arif's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 17, 2025 - Present
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
Office #1: Plot No 14 Sector 18 Udyog Vihar, Gurugram Haryana 122015BD
CRD#: 26506
Gurugram Haryana,
Past
May 29, 2019 - April 17, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Gurugram Haryana,
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Minnesota(4/17/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/18/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 9/10/2024
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 5/29/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AE
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | NATIONAL INVESTMENT SERVICES, INC. | IDS INVESTMENT SERVICES, INC.
CRD#: 26506 / SEC#: , 8-42582
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
901 3rd Avenue South, Minneapolis, MN 55402
Mailing Address
5221 Ameriprise Financial Center, Minneapolis, MN 55474
Phone number
(612) 671-3662
Established
Minnesota since 04/13/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| CARR, GREGORY GERARD | DIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT | 2210835 |
| FLANSBURG, BRETT ALLEN | VICE PRESIDENT, AWM COMPLIANCE AND CHIEF COMPLIANCE OFFICER | 3179474 |
| GERDES, JOSEPH FRANCIS | DIRECTOR, CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 2391989 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| SENNE, ANN MARIE | DIRECTOR | 2515669 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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Company Information
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
CRD#: 26506Gurugram Haryana 122015TRUST BUT VERIFY
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