Ronni Puglisi
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.
Ronni Puglisi, who also goes by Ronni Meryl, Meryl Puglisi, Ronni Meryl Rubin Puglisi, Ronni R Puglisi, Ronni Rubin Puglisi, Ronni Meryl Rubin, was a registered financial professional .
Ronni is a previously registered financial professional and started their career in finance in 1976. Ronni had worked at 10 firms and has passed the Series 66, Series 63, SIE, PC, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2013 - August 7, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
March 26, 2013 - August 7, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
November 18, 2010 - March 26, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 17, 2010 - March 26, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - June 8, 2010
MORGAN STANLEY
June 1, 2009 - June 8, 2010
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
February 17, 1994 - April 2, 2007
MORGAN STANLEY DW INC.
February 12, 1994 - April 2, 2007
MORGAN STANLEY DW INC.
April 15, 1992 - May 22, 1993
BARBER & BRONSON INCORPORATED
July 2, 1991 - April 15, 1992
A. F. BEST SECURITIES, INC.
July 29, 1983 - May 23, 1991
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 29, 1982 - July 28, 1983
BACON, WHIPPLE & CO., INC.
January 2, 1976 - March 7, 1983
BACON, WHIPPLE & CO.
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
PC
Date: 9/1/1977
AMEX Put and Call ExamCurrent 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.
