Articles Tagged with Ameriprise Financial Services

Thomas SharpPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that California-based Ameriprise Financial Services broker/adviser Thomas Sharp has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sharp (CRD# 1623353).

Thomas Sharp has spent 30 years in the securities industry and has been registered with Ameriprise Financial Services in Gold River, California since 2015. Previous registrations include Ameriprise Financial Services in Folsom, California (1987-2013) and IDS Life Insurance Company in Minneapolis, Minnesota (2001, 2003-2006). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 17, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 4, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on February 21, 1987. He is a registered broker and investment adviser with four US states: Arizona, California, Texas, and Washington. He is registered with one self-regulatory organization: FINRA.

According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.

Jack LowreyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 23, 2019 indicate that former Florida-based Ameriprise Financial Services broker/adviser Jack Lowrey was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lowrey (CRD# 1241746).

Jack Lowrey has spent 33 years in the securities industry and was most recently registered with Ameriprise Financial Services in Pensacola, Florida (2016-2018). Previous registrations include NBC Securities in Pensacola, Florida (2013-2016); Raymond James Financial Services in Pensacola, Florida (2009-2013); NBC Securities in Pensacola, Florida (2002-2009); UBS Painewebber in Weehawken, New Jersey (2000-2002); JC Bradford & Company in New York, New York (2000); Liberty Securities Corporation in Purchase, New York (1998-1999); Southtrust Securities in Birmingham, Alabama (1997-1998); Independent Financial Securities (1997-1998); Barnett Investments in Jacksonville, Florida (1989-1997); Prudential-Bache Securities in New York, New York (1989); and Merrill Lynch in New York, New York (1984-1989). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 16, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 7, 1998; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on February 18, 1984. He is currently not registered with any state or firm.

According to his BrokerCheck report, Jack Lowrey was recently discharged from a former employer in connection to alleged rule violations, and resigned from another former employer in connection to alleged rule violations.

Alfred WeaverPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 15, 2018 indicate that Massachusetts-based Ameriprise Financial Services broker/adviser Alfred Weaver has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Weaver (CRD# 460549).

Alfred Weaver has spent 50 years in the securities industry and has been registered with Ameriprise Financial Services in Westborough, Massachusetts since 2012. Previous registrations include Morgan Stanley Smith Barney in Waltham, Massachusetts (2009-2012); Citigroup Global Markets in Watham, Massachusetts (1993-2009); Lehman Brothers in New York, New York (1988-1993); EF Hutton & Company (1984-1988); Paine Webber Jackson & Curtis (1980-1984); and Paine Webber Jackson & Curtis (1968-1980). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 18, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 26, 1984; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; PC (AMEX Put and Call Exam), which he obtained on September 2, 1977; and Series 1 (Registered Representative Examination), which he obtained on December 18, 1967. He is a registered broker and investment adviser with 12 US states and territories: Connecticut, Florida, Maine, Maryland, Massachusetts, New Hampshire, New York, Rhode Island, South Carolina, Texas, Vermont, and Virginia.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint.

Thomas EisenhuthPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 16, 2018 indicate that Florida-based Ameriprise Financial Services broker/adviser Thomas Eisenhuth has received pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Eisenhuth (CRD# 4364320).

Thomas Eisenhuth has spent 17 years in the securities industry and has been registered with Ameriprise Financial Services in Winter Park, Florida since July 2017. Previous registrations include Morgan Stanley in Winter Park, Florida (2009-2017); Morgan Stanley & Company in Winter Park, Florida (2009); Merrill Lynch in Winter Park, Florida (2002-2009); and First Union Securities in St. Louis, Missouri (2001-2002). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 4, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 13, 2001; Series 31 (Futures Managed Funds Examination), which he obtained on April 27, 2010; Series 7 (General Securities Representative Examination), which he obtained on May 7, 2002; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 10, 2001. He is a registered broker and investment adviser with 29 US states and territories.

According to his BrokerCheck report, he has received three pending customer complaints.

Daniel Torres

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 9, 2018 indicate that California-based Ameriprise Financial Services broker/adviser Daniel Torres has received several unsatisfied tax liens. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Torres (CRD# 2163914).

Daniel Torres has spent twenty-six years in the securities industry and has been registered with Ameriprise Financial Services in Irvine, California since 1991. He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (1991-2006). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 8, 1991 and Series 7 (General Securities Representative Examination), which he obtained on October 1, 1991. He is a registered broker and investment adviser with 18 US states and territories: Arizona, California, Colorado, Georgia, Hawaii, Idaho, Illinois, Missouri, Nevada, New Jersey, New Mexico, New York, Ohio, Oklahoma, Oregon, Pennsylvania, Texas, and Washington.

According to his BrokerCheck report, he has received three denied customer complaints and three unsatisfied tax liens.

Ronald Lam
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 25, 2018 indicate that Oregon-based Ameriprise Financial Services broker Ronald Lam has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lam (CRD# 3067765).

Ronald Lam has spent nineteen years in the securities industry and has been registered with Ameriprise Financial Services in Lake Oswego, Oregon since 2015. Previous registrations include Wells Fargo Advisors in Wilsonville, Oregon (2011-2015); Wells Fargo Investments in Portland, Oregon (2009-2011); Wamu Investments in Tigard, Oregon (2002-2009); and Phillips & Company Securities in Portland, Oregon (1998-2002). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 22, 1998, and Series 7 (General Securities Representative Examination), which he obtained on June 17, 1998. He is a registered broker and investment adviser with eight US states: Arizona, California, Hawaii, Illinois, Oregon, Texas, Utah and Washington.

According to his BrokerCheck report, Ronald Lam has received two customer complaints and was discharged form a former employer in connection to alleged rule violations.

Lorene Fairbanks Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 11, 2017 indicate that former Ohio-based Ameriprise Financial Services broker/adviser Lorene Fairbanks, also known as Lori Miller, recently resigned from her former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Fairbanks (CRD# 2788572).

Lorene Fairbanks has spent 18 years in the securities industry and was most recently registered with Ameriprise Financial Services in Poland and Canfield, Ohio (2014-2017). Previous registrations include Merrill Lynch in Canfield, Ohio and Citigroup Global Markets in Canfield, Ohio. She is currently not registered with any state or firm.

According to her BrokerCheck report, she has received one FINRA sanction and four customer complaints, and recently resigned from her former employer in connection to alleged rule violations.

Geraldine GordonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 6 2017 indicate that Kentucky-based Ameriprise Financial Services broker/adviser Geraldine Gordon has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is investigating allegations of misconduct against Ms. Gordon (CRD# 2499098).

Geraldine Gordon has spent 22 years in the securities industry and has been registered with Ameriprise Financial Services in Lexington, Kentucky since 1994. She was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (1994-2006). She is a registered broker and investment adviser with 17 US states and territories.

According to her BrokerCheck report, she has received one FINRA sanction and three customer complaints.