JD
JD

Joseph Donough

42 Years of Experience
Kingston, PA
2 DisclosuresBroker

Joseph Donough is a registered investment advisor at Ameriprise Financial Services, LLC, based in Kingston, PA, with 42 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,330,280 clients with $560B in assets under management.

Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12781 advisors
Number of Clients
1,330,280 clients
Average Client Portfolio
$424K average
Assets Under Management
$564.6B

Fee Structure

Minimum Investment:$2K

Ameriprise Financial Services offers several managed account programs. The fees vary depending on the program selected. These fees include an asset-based fee, which covers investment advisory services and investment management fees. Some accounts may also have an Investments and Infrastructure Support Fee. Clients also pay investment costs, which are the underlying fees related to investment products purchased within the managed account. Additional fees and expenses may be incurred based on the nature of the investments.

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Location

480 Pierce St Ste 214, Kingston, PA, 18704

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2008
Denied
Customer Dispute
December 2005
Denied
Employment History
Current Registrations
Ameriprise Financial Services, LLC
December 2009 - Present · 16 yrs 7 mos
Ameriprise Financial Services, LLC
December 2009 - Present · 16 yrs 7 mos
Ameriprise Financial Services, LLCBroker
December 2009 - Present · 16 yrs 7 mos
Previous Registrations
Securities America, INC.Broker
March 2010 - December 2010 · 9 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2005 - December 2009 · 4 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2005 - December 2009 · 4 yrs 2 mos
UBS Financial Services INC.Broker
September 2002 - November 2005 · 3 yrs 2 mos
Morgan Stanley Dw INC.Broker
December 1997 - September 2002 · 4 yrs 9 mos
Eq Financial Consultants, INC.Broker
July 1993 - December 1997 · 4 yrs 5 mos
The Equitable Life Assurance Society of the United StatesBroker
July 1993 - December 1997 · 4 yrs 5 mos
Equico Securities, INC.Broker
January 1982 - November 1991 · 9 yrs 10 mos
The Equitable Life Assurance Society of the United StatesBroker
January 1982 - November 1991 · 9 yrs 10 mos
State Registrations19 states
ALCADCFLGAINMDMEMONCNJNVNYOHPASCTNTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.