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VV

Vivek K. Verma

AMERICAN ENTERPRISE INVESTMENT SERVICES
Gurugram Haryana, 122015
Some features on this profile are disabled
CRD#: 6577576
VV

Professional summary

Vivek Kumar Verma is a registered financial professional currently at AMERICAN ENTERPRISE INVESTMENT SERVICES INC. .

Vivek is registered as a RR (Registered Representative) and started their career in finance in 2020. Vivek has worked at 2 firms and has passed the Series 7TO, SIE and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vivek Kumar Verma'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®
None

Experience

Current

April 17, 2025 - Present

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

Office #1: Plot No 14 Sector 18 Udyog Vihar, Gurugram Haryana 122015
BD
CRD#: 26506
Gurugram Haryana,
Past

September 29, 2020 - 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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 8/31/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/2/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/12/2021
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AMPF HOLDING, LLCSHAREHOLDER
CARR, GREGORY GERARDDIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT2210835
FLANSBURG, BRETT ALLENVICE PRESIDENT, AWM COMPLIANCE AND CHIEF COMPLIANCE OFFICER3179474
GERDES, JOSEPH FRANCISDIRECTOR, CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER2391989
MATTOX, MICHAEL SCOTTVICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER4383501
SENNE, ANN MARIEDIRECTOR2515669
SWEENEY, JOSEPH EDWARDDIRECTOR4668713

Disclosures

Regulatory Event10

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.

Company Information

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

CRD#: 26506Gurugram Haryana 122015

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