Joseph Patrick Yapaola

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2016 → 08/2018
  Bancwest Investment Services
  San Jose, CA
• 05/2016 → 09/2016
  Unemployed
  Newark, NJ
• 09/2016 → 08/2018
  Bank Of The West
  San Jose, CA
• 08/2018 → 09/2020
  Wells Fargo Clearing Services, Llc
  Palo Alto, CA
• 09/2020 → 09/2020
  Ameriprise Financial Services Inc
  Redwood Shores, CA
• 03/2020 → 03/2020
  Ameriprise Financial Services, Llc
  Redwood Shores, CA
• 09/2020 → Present
  Ameriprise Financial Services, Llc.
  Redwood Shores, CA

Previous Registrations

• 2018-08-31 → 2020-10-01
  Wells Fargo Clearing Services, Llc
  Palo Alto, CA
  Palo Alto, CA
• 2016-09-15 → 2018-08-29
  Bancwest Investment Services, Inc.
  San Jose, CA
  San Jose, CA
  San Jose, CA
  San Jose, CA
  San Jose, CA
  Campbell, CA

Other Businesses

Board of Directors; Sequoia Hospital Foundation Board; Board Member; 170 Alameda De Las Pulgas, , Redwood City, CA, 94062; Not Investment-Related; 05/30/2024; 0 hours per month; 0 during trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2016-09-15
• S63 Uniform Securities Agent State Law Examination
  2011-11-29

Designations

• Certified Financial Planner