Thomas F. Seidl
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.
Thomas Farmer Seidl, who also goes by Thomas F. Seidl, Tom Seidl, Thomas Farmer Seidl, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1976. Thomas had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 31, PC, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2019 - July 19, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
July 26, 2019 - July 19, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
August 31, 2018 - September 11, 2019
CONCORDE ASSET MANAGEMENT, LLC
August 31, 2018 - September 11, 2019
CONCORDE INVESTMENT SERVICES, LLC
February 9, 2017 - August 21, 2018
L.M. KOHN & COMPANY
February 9, 2017 - August 21, 2018
L.M. KOHN & COMPANY
September 29, 2016 - December 22, 2016
CREATIVE FINANCIAL DESIGNS, INC.
September 29, 2016 - December 22, 2016
CFD INVESTMENTS, INC.
February 26, 2010 - September 29, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - September 29, 2016
WELLS FARGO CLEARING SERVICES, LLC
September 14, 1998 - January 3, 2008
A. G. EDWARDS & SONS, INC.
July 31, 1993 - September 23, 1998
CITIGROUP GLOBAL MARKETS INC.
May 17, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
September 4, 1990 - May 21, 1991
WELLS FARGO CLEARING SERVICES, LLC
January 9, 1989 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
April 29, 1981 - January 27, 1989
KIDDER, PEABODY & CO. INCORPORATED
November 26, 1979 - May 27, 1981
LEHMAN BROTHERS INC.
December 12, 1978 - November 26, 1979
LOEB PARTNERS
October 28, 1977 - May 23, 1980
SMITH, HAGUE & CO., INCORPORATED
November 1, 1976 - November 21, 1977
FIFTH THIRD SECURITIES, INC.
June 25, 1976 - August 28, 1976
AMERICAN EXPRESS FINANCIAL CORPORATION
June 25, 1976 - August 28, 1976
AMERIPRISE FINANCIAL SERVICES, LLC
June 25, 1976 - August 28, 1976
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
PC
Date: 10/26/1977
AMEX Put and Call ExamSeries 1
Date: 6/21/1976
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.
