Public 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.