Joseph Dan Barkat

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2010-03-11
IL	RA	APPROVED	2009-10-05
MO	RA	APPROVED	2009-10-05
NV	RA	APPROVED	2009-10-05
NJ	RA	APPROVED	2009-10-05
NC	RA	APPROVED	2009-10-05
PA	RA	APPROVED	2009-10-05

TX RA
APPROVED_RES

Since 2010-03-11
IL RA
APPROVED

Since 2009-10-05
MO RA
APPROVED

Since 2009-10-05
NV RA
APPROVED

Since 2009-10-05
NJ RA
APPROVED

Since 2009-10-05
NC RA
APPROVED

Since 2009-10-05
PA RA
APPROVED

Since 2009-10-05

Branch Locations

16220 N Scottsdale Rd Ste 250, Scottsdale, AZ 85254 • United States

161 E Rivulon Blvd Ste 108, Gilbert, AZ 85297 • United States

Chandler, AZ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Mesa	AZ	10/2009	03/2020
Ameriprise Financial Services, Inc.	Mesa	AZ	10/2009	03/2020
Ameriprise Financial Services, Llc	Gilbert	AZ	03/2020	Present

10/2009 → 03/2020

Ameriprise Financial Services, Inc.

Mesa, AZ
10/2009 → 03/2020

Ameriprise Financial Services, Inc.

Mesa, AZ
03/2020 → Present

Ameriprise Financial Services, Llc

Gilbert, AZ

Previous Registrations

2007-09-06 → 2009-10-05

Ameriprise Advisor Services, Inc.

Mesa, AZ

Mesa, AZ

Other Businesses

Independent Insurance Brokering; Allianz Life Ins Co of North America; 11/16/2007; / Metropolitan Life Insurance Co; 01/29/2004; / OneAmerica- The State Life Ins. Co; 06/25/2007; / Pacific Life Ins Co; 08/10/2004; / Protective Life Ins Co.; 05/06/2004; / Transamerica Life Ins. Co; 09/18/2008; / Banner Life Ins Co.; 10/15/2004; / Genworth Life Insurance Co; 05/03/2004; / Hartford Life & Annuity Ins Co,; 05/17/2004; / Jackson National Life Ins Co; 05/07/2004; / John Hancock USA/Manufactures Life Ins Co; 07/07/2005; / Lincoln Benefit Life Co; 03/02/2006; / MassMutual; 04/23/2004; / Metlife Investors Ins. Co; 03/08/2007; . Business Ownership; South Karen Lane LLC; Co-owner; Real Estate; 151 S Karen Lane, , Gilbert, AZ, 85296; Investment-Related; 06/12/2026; 1 to 9 hours per month; 0 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-08-22
S63	Uniform Securities Agent State Law Examination	2004-02-24

S65 Uniform Investment Adviser Law Examination

2007-08-22
S63 Uniform Securities Agent State Law Examination

2004-02-24

Other Names

Joe Barkat
Joseph Barket

View on SEC IAPD