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Submission: On May 02 via api from CH — Scanned from DE
Submission: On May 02 via api from CH — Scanned from DE
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</form>Text Content
FEEDBACK BrokerCheck Help Line (800) 289-9999 FINRA Home * Individual * Firm * By clicking the SEARCH button or otherwise using BrokerCheck, I agree to BrokerCheck Terms of Use at in Search in Search By clicking the SEARCH button or otherwise using BrokerCheck, I agree to BrokerCheck Terms of Use Please be aware that fraudsters may link to BrokerCheck from phishing and similar scam websites, trying to steal your personal information or your money. Make sure you know who you’re dealing with when investing, and contact FINRA with any concerns. For more information read our investor alert on imposters. < Back to Results Detailed ReportReport Share DANIEL JAMES HARRISON CRD#: 5146828 IA Investment Adviser B Broker Regulated by FINRA AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 726 Notre Dame St. Grosse Pointe, MI 48230 +1 0 Disclosures 14 Years of Experience 1 Firm 3 Exams Passed 25 State Licenses 0 Disclosures 14 Years of Experience 1 Firm 3 Exams Passed 25 State Licenses 0 Disclosures 14 Years of Experience 1 Firm 3 Exams Passed 25 State Licenses Registration History pan up hidden text zoom in hidden textzoom out hidden text pan down hidden text 200820102012201420162018202020222 FIRMS2008 - Present (14 years) Disclosure(s) Close View By: DateCategory Examination(s) Close STATE SECURITIES LAW EXAM B IA Series 66 - Uniform Combined State Law Examination Mar 3, 2008 -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- GENERAL INDUSTRY/PRODUCTS EXAM B SIE - Securities Industry Essentials Examination Oct 1, 2018 -------------------------------------------------------------------------------- B Series 7 - General Securities Representative Examination Feb 14, 2008 -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- Additional information including this individual's professional designations is available in the Detailed Report. License(s) Close STATE REGISTRATIONS B California -------------------------------------------------------------------------------- B New York -------------------------------------------------------------------------------- B Colorado -------------------------------------------------------------------------------- B North Carolina -------------------------------------------------------------------------------- B Delaware -------------------------------------------------------------------------------- B Ohio -------------------------------------------------------------------------------- B Florida -------------------------------------------------------------------------------- B Oregon -------------------------------------------------------------------------------- B Georgia -------------------------------------------------------------------------------- B Pennsylvania -------------------------------------------------------------------------------- B Idaho -------------------------------------------------------------------------------- B South Carolina -------------------------------------------------------------------------------- B Illinois -------------------------------------------------------------------------------- B Texas -------------------------------------------------------------------------------- B Maryland -------------------------------------------------------------------------------- IA Texas -------------------------------------------------------------------------------- B Massachusetts -------------------------------------------------------------------------------- B Virginia -------------------------------------------------------------------------------- B Michigan -------------------------------------------------------------------------------- B Washington -------------------------------------------------------------------------------- IA Michigan -------------------------------------------------------------------------------- B West Virginia -------------------------------------------------------------------------------- B Minnesota -------------------------------------------------------------------------------- B Wisconsin -------------------------------------------------------------------------------- B Nevada -------------------------------------------------------------------------------- SRO REGISTRATIONS B FINRA -------------------------------------------------------------------------------- Not all jurisdictions require IAR registration or may have an exemption from registration. Current Registration(s) Close B AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) 726 Notre Dame St., Grosse Pointe, MI 48230 Registered with this firm since 2/15/2008 -------------------------------------------------------------------------------- IA AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) 726 Notre Dame St., Grosse Pointe, MI 48230 Registered with this firm since 3/4/2008 -------------------------------------------------------------------------------- Previous Registration(s) Close th hidden textth hidden textNameLocation Additional Information The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here. State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information. Click here for more information about how to check on an investment professional. B Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers. IA Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services. It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further. PR Previously Registered A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more. Disclosures Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of. Use of the BrokerCheck site is subject to BrokerCheck Terms of Use -------------------------------------------------------------------------------- ©2022 FINRA, All Rights Reserved FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Privacy Legal An investment adviser is an individual or company that is paid for providing advice about investments to their clients. Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.