Elizabeth A. Akom
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.
Elizabeth Ann Akom, who also goes by Elizabeth Ann Martin, Elizabeth Martin, Elizabeth Ann Swanson, Elizabeth Swanson, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1981. Elizabeth had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2012 - December 31, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
December 3, 2012 - January 3, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
June 11, 2009 - December 5, 2012
MOORS & CABOT, INC.
June 5, 2009 - December 5, 2012
MOORS & CABOT, INC.
October 31, 2005 - June 9, 2009
OSAIC SERVICES, INC.
September 30, 2003 - October 5, 2009
AKOM FINANCIAL CONSULTANTS
January 2, 1992 - October 31, 2005
SUNAMERICA SECURITIES, INC.
November 28, 1990 - November 24, 1992
SHEEN FINANCIAL RESOURCES, INC.
January 15, 1990 - December 1, 1990
SUNAMERICA SECURITIES, INC.
December 8, 1989 - December 16, 1989
LPL FINANCIAL LLC
November 20, 1989 - December 8, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1989 - January 18, 1990
OSAIC WEALTH, INC.
January 4, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1984 - February 4, 1988
CITIGROUP GLOBAL MARKETS INC.
September 20, 1984 - November 16, 1984
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
March 23, 1983 - August 15, 1984
MORGAN STANLEY DW INC.
July 15, 1981 - February 16, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
July 15, 1981 - February 16, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
July 15, 1981 - February 16, 1983
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
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.
