Henry E. Wasserman
Professional summary
Henry Edward Wasserman III was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Henry Edward Wasserman III, who also goes by Henry Edward Wasserman, was a registered financial advisor .
Henry is a previously registered financial advisor and started their career in finance in 1980. Henry had worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 3, Series 1, Series 10, Series 9 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2010 - March 12, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
September 2, 2010 - March 12, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
June 1, 2009 - September 14, 2010
MORGAN STANLEY
June 1, 2009 - September 14, 2010
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 7, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
February 1, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
October 15, 1990 - December 18, 1990
FIRST EQUITY CORPORATION OF FLORIDA
November 30, 1987 - November 26, 1988
EQUITIES INTERNATIONAL SECURITIES, INC.
April 26, 1985 - June 11, 1986
UBS FINANCIAL SERVICES INC.
July 25, 1983 - April 3, 1985
LEHMAN BROTHERS INC.
March 24, 1983 - July 23, 1983
E. F. HUTTON & COMPANY INC
July 1, 1980 - December 16, 1982
AMERICAN EXPRESS FINANCIAL CORPORATION
July 1, 1980 - December 16, 1982
AMERIPRISE FINANCIAL SERVICES, LLC
July 1, 1980 - December 16, 1982
IDS LIFE INSURANCE COMPANY
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
Series 1
Date: 6/16/1980
Registered Representative ExaminationCurrent 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.
