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Joseph Monica

Ameriprise Financial Services, LLC
29 Years of Experience
Chicago, IL
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Joseph Monica is a registered investment advisor at Ameriprise Financial Services, LLC, based in Chicago, IL, with 29 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

3304 N Lincoln Ave, Ste A, Chicago, IL, 60657-8073

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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
April 2010
Award / Judgment
Customer Dispute
June 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Joseph owns rental properties in Chicago and Miami. He also works as an independent insurance broker and owns a consulting business, dedicating about a quarter of his time to the latter. Joseph is also a board member and treasurer for Della Monica.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
December 1997 - Present · 28 yrs 10 mos
Ameriprise Financial Services, LLC
July 1997 - Present · 29 yrs 3 mos
Ameriprise Financial Services, LLCBroker
July 1997 - Present · 29 yrs 3 mos
Previous Registrations
Ids Life Insurance CompanyBroker
July 1997 - July 2006 · 9 yrs
Resource Development International, LTD.Broker
February 1997 - June 1997 · 4 mos
State Registrations29 states
ARAZCACOCTDCFLGAIAILINMAMIMNMONCNHNJNMNYOHORPAPRSCTNTXWAWI
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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