Joseph Sullivan
Joseph Sullivan is a registered investment advisor at Ameriprise Financial Services, LLC, based in New York, NY, with 45 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
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
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.
Location
530 5th Ave, 10th Floor, New York, NY, 10036
Get directionsHistory
Regulatory History (7)
Customer Dispute
July 2008Customer Dispute
November 2000Customer Dispute
August 1997Customer Dispute
October 1995Customer Dispute
July 1994Customer Dispute
March 1992Customer Dispute
May 1988Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Previous Registrations
Gilford Securities IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Prudential Securities IncorporatedBroker
Smith Barney, Harris Upham & CO., IncorporatedBroker
E. F. Hutton & Company INCBroker
State Registrations22 states
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.