Anthony Michael Caruana

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
DE	RA	APPROVED	2020-12-11
NH	RA	APPROVED	2019-08-07
MI	RA	APPROVED	2018-03-29
TX	RA	APPROVED	2018-03-29

DE RA
APPROVED

Since 2020-12-11
NH RA
APPROVED

Since 2019-08-07
MI RA
APPROVED

Since 2018-03-29
TX RA
APPROVED

Since 2018-03-29

Branch Locations

43155 Main St Ste 2200A, Novi, MI 48375 • United States

Northville, MI • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wunderlich Securities, Inc.	Memphis	TN	03/2009	03/2018
Ameriprise Financial Services Inc	Novi	MI	03/2018	03/2020
Ameriprise Financial Services, Llc	Novi	MI	03/2020	Present

03/2009 → 03/2018

Wunderlich Securities, Inc.

Memphis, TN
03/2018 → 03/2020

Ameriprise Financial Services Inc

Novi, MI
03/2020 → Present

Ameriprise Financial Services, Llc

Novi, MI

Previous Registrations

2009-11-17 → 2018-04-02

B. Riley Wealth Management

Birmingham, MI

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-10-08
S63	Uniform Securities Agent State Law Examination	1989-05-22

S65 Uniform Investment Adviser Law Examination

2009-10-08
S63 Uniform Securities Agent State Law Examination

1989-05-22

View on SEC IAPD

Current Employers

Ameriprise Financial Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews