Carol Jean Harper

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2009 → 03/2020
  Ameriprise Financial Services, Inc.
  Richardson, TX
• 10/2009 → 03/2020
  Ameriprise Financial Services, Inc.
  Dallas, TX
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Dallas, TX

Previous Registrations

• 2009-04-06 → 2009-10-05
  Ameriprise Advisor Services, Inc.
  Richardson, TX
• 2000-12-19 → 2009-03-30
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Dallas, TX
  Dallas, TX

Other Businesses

Real Estate Ownership; Single Family; 2737 Garden Gate Lane, , Wylie, TX, 76098; Investment-Related; 11/09/2023.

Exams

• S66 Uniform Combined State Law Examination
  2001-01-08
• S63 Uniform Securities Agent State Law Examination
  2000-05-02

Other Names

• Carol Jean Sebastian