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Kathy Anderson Wilson
Lera Kathleen Anderson, KATHY A WILSON, KATHY WILSON
CRD#: 1718255
IA
Investment Adviser
B
Broker Regulated by FINRA
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 7500 Memorial Pkwy SW
Ste 215-S
Huntsville, AL 35802
+1
Registration History
199019952000200520102015202020252 FIRMS1990 - 1992 (1 year)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2014 (4 years)2 FIRMS2018 - 2024 (6 years)2 FIRMS2024 - Present (<1 year)BCUNA BROKERAGE SERVICES, INC. (CRD# 13941)1994 - 2008 (14 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1992 - 1994 (2 years)BCENTRAL BROKERAGE SERVICES, INC. (CRD# 17086)1989 - 1990 (1 year)BPAMCO SECURITIES AND INSURANCE... (CRD# 11028)1987 - 1989 (1 year)BMARSHALL & CO. SECURITIES, INC. (CRD# 17942)1987 - 1987 (<1 year)IACUNA BROKERAGE SERVICES, INC. (CRD# 13941)2001 - 2008 (7 years)
Disclosure(s)
View By:
6/13/2024
Customer Dispute
Denied
2/17/2009
Customer Dispute
Denied
License(s)

State Registrations

IA
Alabama

B
Florida

B
Alabama

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
7500 Memorial Pkwy SW Ste 215-S, Huntsville, AL 35802
Registered with this firm since 10/3/2024

IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
7500 Memorial Pkwy SW Ste 215-S, Huntsville, AL 35802
MADISON, AL
Registered with this firm since 10/4/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/18/2018 - 10/01/2024 FIRST COMMAND ADVISORY SERVICES (CRD#:281958) Huntsville, AL
B
09/25/2018 - 10/01/2024 FIRST COMMAND BROKERAGE SERVICES, INC. (CRD#:3641) Huntsville, AL
IA
11/04/2009 - 02/15/2014 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) HUNTSVILLE, AL
B
11/02/2009 - 02/15/2014 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) HUNTSVILLE, AL
B
01/13/2009 - 10/30/2009 COLONIAL BROKERAGE, INC. (CRD#:111668) MADISON, AL
IA
01/15/2009 - 10/29/2009 COLONIAL ASSET MANAGEMENT INC (CRD#:108950) HUNTSVILLE, AL
IA
05/30/2001 - 11/19/2008 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) DECATUR, AL
B
09/21/1994 - 11/19/2008 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) DECATUR, AL
B
04/03/1992 - 08/29/1994 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
11/26/1990 - 04/09/1992 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
11/26/1990 - 04/09/1992 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680) NEWARK, NJ
B
11/22/1989 - 11/09/1990 CENTRAL BROKERAGE SERVICES, INC. (CRD#:17086) BIRMINGHAM, AL
B
11/30/1987 - 09/12/1989 PAMCO SECURITIES AND INSURANCE SERVICES (CRD#:11028)
B
08/31/1987 - 11/27/1987 MARSHALL & CO. SECURITIES, INC. (CRD#:17942)
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

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