Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tommy? Claim Your ProfileTommy Joe Scroggins has been working in the financial services industry since 1991. Tommy Joe is currently registered with Ameriprise Financial Services, LLC. Tommy Joe previously worked at Ameriprise Advisor Services, Inc., Citigroup Global Markets Inc., Lehman Brothers Inc., and The Stuart-James Company, Incorporated. Tommy Joe has passed the Series 31, Series 7, Series 63, and Series 65 exams. Tommy Joe is registered in several states including California, Florida, Illinois, Missouri, Montana, Ohio, Oklahoma, South Carolina, Texas, Virgin Islands, and Wisconsin. Ameriprise Financial Services, LLC is a large firm with a total of $479,793,782,427 in assets under management. The firm provides a variety of services including financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, portfolio management for individuals, and publication of periodicals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
MO
10/05/2009 - Present
Ameriprise Financial Services, LLC (Clayton MO)
MO
03/06/2009 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (CLAYTON MO)
MO
07/31/1993 - 04/01/2009
CITIGROUP GLOBAL MARKETS INC. (CLAYTON MO)
NY
12/11/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
CO
06/25/1990 - 09/18/1990
THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)
IA
Issued 09/28/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/03/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 06/22/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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