Gerry B. Kostuk
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.
Gerry Burns Kostuk SR, who also goes by Gerard Burns Kostuck Sr, Gerar Burns Kostuk Sr, Gerard Burns Kostuk Sr, Gerard Burns Kostuk, Jerry Kostuk, was a registered financial professional .
Gerry is a previously registered financial professional and started their career in finance in 1978. Gerry had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9, Series 8 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
October 5, 2009 - July 13, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - July 13, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
September 15, 2006 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
July 21, 2003 - September 18, 2006
GREAT LAKES ADVISORS, LLC
July 21, 2003 - September 18, 2006
WINTRUST INVESTMENTS LLC
June 24, 2003 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
April 15, 2003 - July 31, 2003
RAYMOND JAMES & ASSOCIATES, INC.
January 29, 1998 - July 31, 2003
RAYMOND JAMES & ASSOCIATES, INC.
September 1, 1994 - March 2, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
February 17, 1993 - September 1, 1994
HAMILTON INVESTMENTS, INC.
September 4, 1990 - February 24, 1993
WELLS FARGO CLEARING SERVICES, LLC
February 8, 1990 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
May 23, 1988 - February 12, 1990
J. T. MORAN & CO., INC.
February 2, 1987 - June 1, 1988
SHERWOOD CAPITAL, INC.
January 27, 1978 - January 31, 1987
FIRST JERSEY SECURITIES, 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 8
Date: 11/28/1989
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.
