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Joshua Brown

Ameriprise Financial Services, LLC
33 Years of Experience
White Plains, NY
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Joshua Brown is a registered investment advisor at Ameriprise Financial Services, LLC, based in White Plains, NY, with 33 years of industry experience. Joshua is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12955 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

399 Knollwood Rd Ste 212, White Plains, NY, 10603

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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
December 2008
Denied
Customer Dispute
August 1997
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Joshua owns real estate and is an independent insurance broker for multiple companies, including American General and United Health. He also owns a business entity to manage his practice and serves on the board of directors for Brown.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
April 2011 - Present · 15 yrs 6 mos
Ameriprise Financial Services, LLC
April 2011 - Present · 15 yrs 6 mos
Ameriprise Financial Services, LLCBroker
April 2011 - Present · 15 yrs 6 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - May 2011 · 1 yr 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - May 2011 · 1 yr 7 mos
Banc of America Investment Services, INC.
October 2004 - October 2009 · 5 yrs
Banc of America Investment Services, INC.Broker
October 2004 - October 2009 · 5 yrs
Quick & Reilly, INC.
November 2002 - October 2004 · 1 yr 11 mos
Quick & Reilly, INC.Broker
August 2000 - October 2004 · 4 yrs 2 mos
Fis Securities, INC.Broker
July 1997 - November 2000 · 3 yrs 4 mos
Fleet Enterprises, INC.Broker
July 1997 - August 2000 · 3 yrs 1 mo
Lew Lieberbaum & CO., INC.Broker
September 1994 - June 1997 · 2 yrs 9 mos
Royce Investment Group, INC.Broker
January 1993 - August 1994 · 1 yr 7 mos
State Registrations19 states
ALCACTDEFLMAMDMIMNMTNCNJNYPARISCTNTXVA
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.
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