Barney R. Tompkins
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.
Barney Rathvon Tompkins was a registered financial professional .
Barney is a previously registered financial professional and started their career in finance in 1979. Barney had worked at 10 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 28 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 - June 12, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - June 12, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
June 3, 2004 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
May 11, 2004 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
December 20, 1999 - May 7, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
January 1, 1998 - December 13, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 8, 1993 - January 1, 1998
NATIONSSECURITIES
July 2, 1993 - October 26, 1993
WALNUT STREET SECURITIES, INC.
June 21, 1990 - August 20, 1991
AMERIPRISE ADVISOR SERVICES, INC.
November 3, 1989 - June 22, 1990
BROKERS EXCHANGE, INC.
January 2, 1987 - December 1, 1987
FIRST UNION CAPITAL MARKETS CORP.
September 24, 1986 - December 26, 1986
NCNB SC SECURITIES, INC.
June 12, 1984 - February 10, 1986
BROKERS EXCHANGE, INC.
February 1, 1979 - July 14, 1982
E. F. HUTTON & COMPANY 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 28
Date: 12/3/2001
Introducing Broker/Dealer Financial Operations Principal 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 |
| 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 |
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.
