John P. Brew
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 Price Brew, who also goes by Jay Brew Jr, Jay Brew, John P. Brew Jr, John Price Brew Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1978. John had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53 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 4, 2019 - July 24, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
June 21, 2018 - July 24, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
June 29, 2012 - October 20, 2016
INVESTMENT PROFESSIONALS, INC.
June 29, 2012 - September 24, 2018
INVESTMENT PROFESSIONALS, INC.
September 2, 2009 - December 31, 2010
ASSET MANAGEMENT PARTNERS, LLC
July 31, 2008 - July 23, 2012
MOMENTUM INDEPENDENT NETWORK INC.
July 31, 2008 - July 23, 2012
MOMENTUM INDEPENDENT NETWORK INC.
July 30, 2008 - August 5, 2008
HILLTOP SECURITIES INC.
July 30, 2008 - August 5, 2008
HILLTOP SECURITIES INC.
July 3, 2007 - July 30, 2008
MOMENTUM INDEPENDENT NETWORK INC.
January 10, 2007 - December 31, 2008
ASSET MANAGEMENT PARTNERS INC
October 28, 2005 - June 28, 2007
BNK ADVISORY GROUP, INC. (SUCCESSOR)
November 27, 1992 - December 31, 2005
BNK ADVISORY GROUP, INC.
June 24, 1984 - January 29, 1986
CITIGROUP GLOBAL MARKETS INC.
March 1, 1978 - June 21, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
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.
