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Joseph Sullivan

Ameriprise Financial Services, LLC
45 Years of Experience
New York, NY
7 DisclosuresBroker
View SEC Summary
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Joseph Sullivan is a registered investment advisor at Ameriprise Financial Services, LLC, based in New York, NY, with 45 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

530 5th Ave, 10th Floor, New York, NY, 10036

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History

Regulatory History (7)
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
July 2008
Settled
Customer Dispute
November 2000
Settled
Customer Dispute
August 1997
Settled
Customer Dispute
October 1995
Settled
Customer Dispute
July 1994
Settled
Customer Dispute
March 1992
Award / Judgment
Customer Dispute
May 1988
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ameriprise Financial Services, LLC
April 2021 - Present · 5 yrs 6 mos
Ameriprise Financial Services, LLC
August 2015 - Present · 11 yrs 2 mos
Ameriprise Financial Services, LLCBroker
August 2015 - Present · 11 yrs 2 mos
Previous Registrations
Gilford Securities IncorporatedBroker
August 2008 - September 2015 · 7 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 1998 - August 2008 · 10 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1996 - August 2008 · 12 yrs 5 mos
Prudential Securities IncorporatedBroker
July 1988 - April 1996 · 7 yrs 9 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
July 1984 - July 1988 · 4 yrs
E. F. Hutton & Company INCBroker
December 1980 - July 1984 · 3 yrs 7 mos
State Registrations22 states
AZCACOCTDCDEFLGALAMAMDNCNHNJNMNYOHPASCTXVAVT
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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