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Joseph Gronwald

Ameriprise Financial Services, LLC
31 Years of Experience
Honolulu, HI
1 DisclosureBrokerSells Insurance
View SEC Summary
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Joseph Gronwald is a registered investment advisor at Ameriprise Financial Services, LLC, based in Honolulu, HI, with 31 years of industry experience. Joseph 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

500 Ala Moana Blvd Suite 7-525, Mailbox 129, Honolulu, HI, 96813

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History

Regulatory History (1)
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 2004
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Joseph is an independent insurance broker for Prudential since 2021, focusing on long-term care. He also has business ownership in another venture and engages in fiduciary activities.

Employment History
Current Registrations
Ameriprise Financial Services, LLCBroker
October 2018 - Present · 8 yrs
Ameriprise Financial Services, LLC
October 2018 - Present · 8 yrs
Ameriprise Financial Services, LLC
October 2018 - Present · 8 yrs
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2010 - October 2018 · 8 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2010 - October 2018 · 8 yrs 3 mos
UBS Financial Services INC.
March 1998 - July 2010 · 12 yrs 4 mos
UBS Financial Services INC.Broker
July 1997 - July 2010 · 13 yrs
Fry & CO., INC.Broker
June 1996 - June 1997 · 1 yr
Prudential Securities IncorporatedBroker
January 1995 - June 1996 · 1 yr 5 mos
State Registrations20 states
AZCACODCDEFLGAHIKSMDNHNJNVNYORTNTXVAWAWI
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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