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Current Employers
Fifth Third Securities, Inc.

34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-07-14
  • TX RA
    APPROVED
    Since 2026-07-14

Branch Locations

Carrollton, TX • United States

8850 Boedeker St, Dallas, TX 75225 • United States

Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-08-22
  • TX RA
    APPROVED
    Since 2023-08-22

Branch Locations

8850 Boedeker Dr, Dallas, TX 75225 • United States

Carrollton, TX • 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
OrganizationCityStateFromTo
Comerica Securities, Inc. Dallas TX 02/2010 08/2021
Ameriprise Financial Services Dallas TX 08/2021 08/2021
Ameriprise Financial Services, Llc Dallas TX 03/2020 03/2020
Ameriprise Financial Services, Llc. Dallas TX 08/2021 Present
Fifth Third Securities Frisco TX 07/2026 Present
Previous Registrations
  • 2010-03-31 → 2023-11-03
    Comerica Securities
    Plano, TX
    Dallas, TX
    Dallas, TX
  • 2009-10-23 → 2010-02-16
    Dallas, TX
    Dallas, TX
    Frisco, TX
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Dallas, TX
    Addison, TX
    Dallas, TX
    Addison, TX
  • 2002-12-02 → 2004-10-20
    Quick & Reilly, Inc.
    Dallas, TX
Other Businesses

Outside Employment; Comerica Financial Advisors; Financial Advisor; Comerica Financial Advisors; 8850 Boedeker, , Dallas, TX, 75225; Investment-Related; 11/06/2023; 40 to 59 hours per month; 20 to 39 during trading hours. Other Business Activities; Financial Oxygen/Maestro; FO2 is a cash management platform for corporate and institutional clients; 8850 Boedeker, , Dallas, TX, 75225; Investment-Related; 11/06/2023; 10 to 19 hours per month; 10 to 19 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-09-15
  • S66 Uniform Combined State Law Examination
    1999-09-15
Other Names
  • David Gauhs

View on SEC IAPD

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