Gary W. Cotter
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.
Gary William Cotter was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1978. Gary had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 1 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
January 15, 2016 - June 17, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
January 13, 2016 - June 17, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
January 19, 2000 - December 17, 2015
LPL FINANCIAL LLC
January 19, 2000 - December 17, 2015
LPL FINANCIAL LLC
October 29, 1997 - January 25, 2000
PRUDENTIAL EQUITY GROUP, LLC
May 18, 1990 - October 28, 1997
G. A. REPPLE & COMPANY
August 7, 1989 - May 23, 1990
INVESTACORP, INC.
March 17, 1989 - August 12, 1989
DERAND/PENNINGTON/BASS, INC.
February 16, 1989 - March 17, 1989
PENNINGTON/BASS EQUITIES, INC.
November 7, 1985 - March 8, 1989
KEOGLER, MORGAN & COMPANY, INC.
December 19, 1984 - November 26, 1985
FSC SECURITIES CORPORATION
September 13, 1984 - January 7, 1985
WZW FINANCIAL SERVICES, INC.
July 14, 1983 - September 24, 1984
E. F. HUTTON & COMPANY INC
May 18, 1978 - July 13, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
May 18, 1978 - July 13, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
May 18, 1978 - July 13, 1983
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
Series 1
Date: 5/11/1978
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.
