EMILY ANN SECORD is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 2292 Oakmont Way, Eugene, OR, 97401.

EMILY ANN SECORD has worked at AMERIPRISE FINANCIAL SERVICES, INC. since December 13, 2013

Disclosure History

EMILY ANN SECORD has 1 Disclosure Event(s).

Date: June 16, 2017
Category: Customer Dispute
Allegations: The client's attorney stated that the advisor did not comply with their request to replace their Roth IRAs with Traditional IRAs in February 2015 and caused them to make Roth IRA contributions for 2015 and 2016, which were unsuitable.
Damage Amount Requested: $11,353.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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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