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James Andrew Magliocco

Ameriprise Financial Services, LLC

Brookfield, WI

Brookfield, WI

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2022-03-15
TX RA APPROVED 2018-04-03
  • WI RA
    APPROVED
    Since 2022-03-15
  • TX RA
    APPROVED
    Since 2018-04-03

Branch Locations

18200 W Capitol Dr Ste 203, Brookfield, WI 53045 • United States

Brookfield, WI • 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
Jp Morgan Securities Llc Brookfield WI 06/2016 04/2017
Jpmorgan Chase Bank Brookfield WI 06/2016 04/2017
Ameriprise Financial Services, Inc. Elm Grove WI 04/2017 03/2020
Ameriprise Financial Services, Llc Brookfield WI 03/2020 Present
  • 06/2016 → 04/2017
    Jp Morgan Securities Llc
    Brookfield, WI
  • 06/2016 → 04/2017
    Jpmorgan Chase Bank
    Brookfield, WI
  • 04/2017 → 03/2020
    Ameriprise Financial Services, Inc.
    Elm Grove, WI
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    Brookfield, WI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-02-16
S63 Uniform Securities Agent State Law Examination 2016-08-11
  • S66 Uniform Combined State Law Examination
    2018-02-16
  • S63 Uniform Securities Agent State Law Examination
    2016-08-11
Other Names
  • James A Magliocco
  • James Magliocco
  • James Andrew Magliocco

View on SEC IAPD

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RBC CAPITAL MARKETS, LLC
MARINER
M HOLDINGS SECURITIES, INC.
STATE FARM INVESTMENT MANAGEMENT CORP.
ENTASIS ASSET MANAGEMENT LLC
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
WHN INVESTOR SERVICES, INC.

Other Investors

DEANNE E PHILLIPS
MATTHEW ROSS KRENKE
Eric Gustav Strom
Thomas James Berkholtz
Heather Christine Shutta
Jeffrey Lynn Stanich
Clayton Joel Beilfuss
Logan Alexander Kepler

Other Offices

ANNEX WEALTH MANAGEMENT, LLC · BROOKFIELD, WI
RBC CAPITAL MARKETS, LLC · BROOKFIELD, WI
MARINER · BROOKFIELD, WI
M HOLDINGS SECURITIES, INC. · Brookfield, WI
STATE FARM INVESTMENT MANAGEMENT CORP. · Brookfield, WI
AMERIPRISE FINANCIAL SERVICES, LLC · Brookfield, WI
ENTASIS ASSET MANAGEMENT LLC · Brookfield, WI
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · BROOKFIELD, WI

More in Brookfield, WI

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