John A. Busco
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.
John Anthony Busco was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, PC, Series 7, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2021 - November 15, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
November 17, 2021 - November 15, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
March 21, 2019 - December 1, 2021
LAIDLAW WEALTH MANAGEMENT LLC
March 19, 2019 - December 1, 2021
LAIDLAW & COMPANY (UK) LTD.
June 1, 2009 - April 2, 2019
MORGAN STANLEY
June 1, 2009 - April 2, 2019
MORGAN STANLEY
March 19, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 19, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 12, 2002 - March 26, 2008
UBS FINANCIAL SERVICES INC.
February 23, 2001 - March 26, 2008
UBS FINANCIAL SERVICES INC.
May 14, 1988 - July 15, 1988
LEHMAN BROTHERS INC.
March 21, 1988 - February 28, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 12, 1982 - May 14, 1988
E. F. HUTTON & COMPANY INC
September 16, 1982 - November 9, 1982
MORGAN STANLEY DW INC.
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 11/3/1982
AMEX Put and Call ExamSeries 1
Date: 8/9/1976
Registered Representative ExaminationSeries 8
Date: 12/3/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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.
