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Ronald Joseph Puccinelli

Ameriprise Financial Services, LLC

Belmont, CA

Belmont, CA

CRD 4160730

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Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2016-02-19
CA RA APPROVED 2011-05-04
  • NV RA
    APPROVED
    Since 2016-02-19
  • CA RA
    APPROVED
    Since 2011-05-04

Branch Locations

Belmont, CA • United States

Belmont, CA • 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
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Redwood City CA 04/2011 03/2020
Ameriprise Financial Services, Llc San Mateo CA 03/2020 Present
Previous Registrations
  • 2009-01-07 → 2010-02-16
    Harrisdirect Llc
    Arlington, VA
  • 2005-05-16 → 2008-08-18
    Kelmoore Investment Company, Inc.
    Palo Alto, CA
    Palo Alto, CA
  • 2001-10-25 → 2003-04-07
    Morgan Stanley Dw Inc.
    Palo Alto, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-08-04
  • S66 Uniform Combined State Law Examination
    2000-08-04
Other Names
  • Ronald Joseph Puccinelli
  • Ronald Joseph Puccinelli

View on SEC IAPD

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