Virgil D. Caramella
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.
Virgil Diano Caramella, who also goes by Dino Caramella, was a registered financial professional .
Virgil is a previously registered financial professional and started their career in finance in 1979. Virgil had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2015 - August 13, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
August 14, 2015 - August 16, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
April 10, 2012 - August 14, 2015
JHS CAPITAL ADVISORS, LLC
February 10, 1992 - April 11, 2012
PAULSON INVESTMENT COMPANY LLC
October 28, 1991 - January 15, 1992
WAMU INVESTMENTS, INC.
October 26, 1990 - October 29, 1991
BMA FINANCIAL SERVICES, INC.
February 1, 1990 - September 21, 1990
IDS LIFE INSURANCE COMPANY
February 1, 1990 - September 21, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
June 20, 1984 - February 13, 1990
PAULSON INVESTMENT COMPANY LLC
December 3, 1982 - June 22, 1984
HINKLE & LAMEAR, INC.
December 14, 1981 - January 4, 1982
BELFORD HAMMERBECK, INC
June 12, 1980 - June 8, 1982
M. S. WIEN & CO., INC.
March 26, 1979 - July 6, 1980
MARQUAM CAPITAL CORPORATION
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.
