CHARLES RICHARD SOUTHARD

CHARLES RICHARD SOUTHARD is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 10050 INNOVATION DR, STE 310, MIAMISBURG, OH, 45342-4933.

CHARLES RICHARD SOUTHARD has worked at AMERIPRISE FINANCIAL SERVICES, INC. since January 22, 1986

Disclosure History

CHARLES RICHARD SOUTHARD has 12 Disclosure Event(s).

Date: August 28, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $4,497.00
Judgment/Lien Type: Tax

Date: August 27, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $4,031.00
Judgment/Lien Type: Tax

Date: May 30, 2012
Category: Judgment / Lien
Judgment/Lien Amount: $7,108.22
Judgment/Lien Type: Tax

Date: May 30, 2012
Category: Judgment / Lien
Judgment/Lien Amount: $29,209.75
Judgment/Lien Type: Tax

Date: May 29, 2012
Category: Judgment / Lien
Judgment/Lien Amount: $9,538.02
Judgment/Lien Type: Tax

Date: September 21, 2010
Category: Judgment / Lien
Judgment/Lien Amount: $41,621.51
Judgment/Lien Type: Tax

Date: August 29, 2008
Category: Judgment / Lien
Judgment/Lien Amount: $33,760.11
Judgment/Lien Type: Tax

Date: March 02, 2007
Category: Judgment / Lien
Judgment/Lien Amount: $35,676.91
Judgment/Lien Type: Tax

Date: April 20, 2006
Category: Judgment / Lien
Judgment/Lien Amount: $158,384.78
Judgment/Lien Type: Tax

Date: April 14, 2006
Category: Judgment / Lien
Judgment/Lien Amount: $32,469.10
Judgment/Lien Type: Tax

Date: March 06, 2006
Category: Judgment / Lien
Judgment/Lien Amount: $25,022.94
Judgment/Lien Type: Tax

Date: March 30, 2004
Category: Judgment / Lien
Judgment/Lien Amount: $56,258.45
Judgment/Lien Type: Tax

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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