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Douglas James Cerrato

Ameriprise Financial Services, LLC

Huntington, NY

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-16
TX RA APPROVED_RES 2020-05-01
  • NY RA
    APPROVED
    Since 2021-04-16
  • TX RA
    APPROVED_RES
    Since 2020-05-01

Branch Locations

7 E Carver St, Huntington, NY 11743 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jpmorgan Securities Llc Mineola NY 10/2014 11/2018
Jp Morgan Chase Mineola NY 10/2014 11/2018
Uneployed Kings Park NY 11/2018 02/2019
Axa Advisors, Llc New York NY 02/2019 05/2020
Ameriprise Financial Services, Llc Melville NY 05/2020 Present
  • 10/2014 → 11/2018
    Jpmorgan Securities Llc
    Mineola, NY
  • 10/2014 → 11/2018
    Jp Morgan Chase
    Mineola, NY
  • 11/2018 → 02/2019
    Uneployed
    Kings Park, NY
  • 02/2019 → 05/2020
    Axa Advisors, Llc
    New York, NY
  • 05/2020 → Present
    Ameriprise Financial Services, Llc
    Melville, NY
Previous Registrations
  • 2019-02-21 → 2020-05-06
    Equitable Advisors, Llc
    Melville, NY
  • 2014-10-31 → 2018-11-26
    J.P. Morgan Securities Llc
    Mineola, NY
    Larchmont, NY
    Larchmont, NY
    Garden City Park, NY
    Roslyn, NY
    Great Neck, NY
    Great Neck, NY
    Port Washington, NY
    Greenvale, NY
    Great Neck, NY
    Port Washington, NY
    Manhassett, NY
    Manhasset, NY
    Roslyn Heights, NY
    Great Neck, NY
    Mineola, NY
    Westbury, NY
    Westbury, NY
    West Hempstead, NY
    Floral Park, NY
    New Hyde Park, NY
    Franklin Square, NY
    Stewart Manor, NY
    Hempstead, NY
    Hempstead, NY
    Merrick, NY
    Baldwin, NY
    Carle Place, NY
    Garden City, NY
    Hempstead, NY
    Hempstead, NY
    New Hyde Park, NY
    Mineola, NY
    Mineola, NY
    Mineola, NY
    Carle Place, NY
    Garden City, NY
    Williston Park, NY
    Bethpage, NY
    East Meadow, NY
    East Meadow, NY
    Bethpage, NY
    Hicksville, NY
    Hicksville, NY
    Levittown, NY
    Levittown, NY
    Westbury, NY
    Jericho, NY
    Hicksville, NY
    Westbury, NY
    Elmont, NY
    Bellerose, NY
    Elmont, NY
    Floral Park, NY
    Franklin Square, NY
    Franklin Square, NY
    Valley Stream, NY
    Garden City Park, NY
    Malverne, NY
    New Hyde Park, NY
    Stewart Manor, NY
    West Hempstead, NY
    Mineola, NY
    East Meadow, NY
    Westbury, NY
    Westbury, NY
    Levittown, NY
    East Meadow, NY
    New Hyde Park, NY
    Great Neck, NY
    Hempstead, NY
    Mineola, NY
    Port Washington, NY
    Franklin Square, NY
    Manhassett, NY
    Floral Park, NY
    Carle Place, NY
    Williston Park, NY
    Roslyn, NY
    Roslyn Heights, NY
    Garden City Park, NY
    Mineola, NY
    Great Neck, NY
    Stewart Manor, NY
    Great Neck, NY
    Great Neck, NY
    Port Washington, NY
    Garden City, NY
    Garden City, NY
    New Hyde Park, NY
    Hempstead, NY
    Carle Place, NY
  • 2013-10-08 → 2014-11-06
    Capital One Financial Advisors Llc
    Melville, NY
  • 2012-10-01 → 2013-10-09
    J.P. Morgan Securities Llc
    Wilton, CT
    Greenwich, CT
    Westport, CT
    Greenwich, CT
    Greenwich, CT
    Greenwich, CT
    Southport, CT
    Stamford, CT
    Greenwich, CT
    White Plains, NY
    Ridgefield, CT
    White Plains, NY
    Wilton, CT
    Wilton, CT
    Riverside, CT
    White Plains, NY
    Fairfield, CT
    Greenwich, CT
    Greenwich, CT
    Greenwich, CT
    Westport, CT
    Westport, CT
    New Canaan, CT
    Rye Brook, NY
    Rye, NY
    White Plains, NY
    Fairfield, CT
    Fairfield, CT
    Katonah, NY
    Rye, NY
    Rye Brook, NY
    New Haven, CT
    White Plains, NY
    Bronxville, NY
    White Plains,, NY
    Bronxville, NY
    Mount Vernon, NY
    Hastings On Hudson, NY
    White Plains, NY
    Yonkers, NY
    Yonkers, NY
    Yonkers, NY
    Dobbs Ferry, NY
    Eastchester, NY
    Larchmont, NY
    New Rochelle, NY
    Whiteplains, NY
    Yonkers, NY
    Mount Vernon, NY
    Pelham, NY
    Pelham Manor, NY
    Tarrytown, NY
    White Plains, NY
    White Plains, NY
    Yonkers, NY
    Tuckahoe, NY
    Scarsdale, NY
    Larchmont, NY
    White Plains, NY
    Harrison, NY
    Harrison, NY
    Hartsdale, NY
    Hartsdale, NY
    Mamaroneck, NY
    New Rochelle,, NY
    White Plains, NY
    Scarsdale, NY
    Scarsdale, NY
    Tuckahoe, NY
    White Plains, NY
    White Plains, NY
    White Plains, NY
    Yonkers, NY
    Yonkers, NY
    Yonkers, NY
    Yonkers, NY
    Scarsdale, NY
    Irvington, NY
    Mamaroneck, NY
    Mamaroneck, NY
    Mount Vernon, NY
    New Rochelle, NY
    Scarsdale, NY
    White Plains, NY
    New Rochelle, NY
    New Rochelle, NY
    New Rochelle, NY
    Scarsdale, NY
    Mount Vernon, NY
    Yonker, NY
    Briarcliff, NY
    Yonkers, NY
    Norwalk, CT
    Bronxville, NY
    New Rochelle,, NY
    Stratford, CT
    Trumbull, CT
    Yonkers, NY
    Bedford, NY
    Bedford, NY
    Mount Kisco, NY
    White Plains, NY
    Whiteplains, NY
    Yonkers, NY
    Tuckahoe, NY
    Bridgeport, CT
    Yonkers, NY
    Briarcliff, NY
    Chappaqua, NY
    Mount Vernon, NY
    Yonker, NY
    New Rochelle, NY
    Milford, CT
    Dobbs Ferry, NY
    Pleasantville, NY
    Stratford, CT
    Mount Vernon, NY
    Mount Kisco, NY
    Hastings On Hudson, NY
    Port Chester, NY
    Pleasantville, NY
    Hartsdale, NY
    Port Chester, NY
    Shelton, CT
    Elmsford, NY
    Croton On Hudson, NY
    Tarrytown, NY
    New Rochelle, NY
    Ossining, NY
    Milford, CT
    Croton-On-Hudson, NY
    Yonkers, NY
    Millwood, NY
    Darien, CT
    White Plains, NY
    Tuckahoe, NY
    Trumbull, CT
    Monroe, CT
    New Haven, CT
    Darien, CT
    Stamford, CT
    Stamford, CT
    Cos Cob, CT
    New Haven, CT
    Ossining, NY
    Southbury, CT
    Bridgeport, CT
    Orange, CT
    Bridgeport, CT
    Katonah, NY
    Fairfield, CT
    Old Greenwich, CT
    Port Chester, NY
    Dobbs Ferry, NY
    Tarrytown, NY
    Elmsford, NY
    Hastings On Hudson, NY
  • 2008-08-19 → 2012-10-01
    Chase Investment Services Corp.
    Stamford, CT
    Wilton, CT
    Flushing, NY
    Flushing, NY
    Bayside, NY
    Glen Oaks, NY
    Little Neck, NY
    Fresh Meadows, NY
    Flushing, NY
    Flushing, NY
    Jamaica, NY
    Flushing, NY
    Whitestone, NY
    Floral Park, NY
    Oakland Gardens, NY
    Queens Village, NY
    Little Neck, NY
    Flushing, NY
    Jamaica Estates, NY
    Flushing, NY
    College Point, NY
    Queens Village, NY
    Bayside, NY
    Bayside, NY
    Jamaica, NY
    Hollis, NY
    Flushing, NY
    Flushing, NY
    Flushing, NY
    Astoria, NY
    Flushing, NY
    Jackson Heights, NY
    Queens, NY
    Woodside, NY
    Howard Beach, NY
    Astoria, NY
    East Elmhurst, NY
    Jackson Heights, NY
    Long Island City, NY
    Astoria, NY
    Jackson Heights, NY
    Astoria, NY
    Forest Hills, NY
    Astoria, NY
    Jamaica, NY
    Richmond Hill, NY
    Jamaica, NY
    Franklin Lakes, NJ
    Riverside, CT
    Wilton, CT
    Wilton, CT
    White Plains, NY
    Greenwich, CT
    Greenwich, CT
    Ridgefield, CT
    White Plains, NY
    Garden City, NY
    Middle Village, NY
    Fairfield, CT
    Fairfield, CT
    White Plains, NY
    Rye, NY
    Rye Brook, NY
    Scarsdale, NY
    Hartsdale, NY
    White Plains, NY
    Hartsdale, NY
    Hartsdale, NY
    New Canaan, CT
    Westport, CT
    Westport, CT
    Greenwich, CT
    Greenwich, CT
    Greenwich, CT
    Whiteplains, NY
    White Plains, NY
    Fairfield, CT
    White Plains, NY
    Greenwich, CT
    White Plains, NY
    Westport, CT
    Greenwich, CT
    Southport, CT
    Greenwich, CT
    Greenwich, CT
    Greenwich, CT
    Westport, CT
    Greenwich, CT
    Long Island City, NY
    Flushing, NY
    Rego Park, NY
    Oakland Gardens, NY
    Forest Hills, NY
    Corona, NY
    Woodhaven, NY
    Ridgewood, NY
    Corona, NY
    Maspeth, NY
    Howard Beach, NY
    Ridgewood, NY
    Maspeth, NY
    Elmhurst, NY
    Rego Park, NY
    Middle Village, NY
    Elmhurst, NY
    Corona, NY
    Middle Village, NY
    Baldwin, NY
    Glendale, NY
    Bayside, NY
    Sunnyside, NY
    Corona, NY
    South Richmond Hill, NY
    Saint Albans, NY
    Maspeth, NY
    Ridgewood, NY
    Woodhaven, NY
    Jamaica, NY
Other Businesses

Independent Insurance Brokering; united health care/oxford; 09/01/2019; Group. Business Ownership; fusaro and cerrato enterprises, inc; Administrative for expense management; expense management for advisory practice; 68 s service rd, , melville, NY, 11747; Not Investment-Related; 05/01/2020; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-08-16
S63 Uniform Securities Agent State Law Examination 2004-10-26
  • S66 Uniform Combined State Law Examination
    2008-08-16
  • S63 Uniform Securities Agent State Law Examination
    2004-10-26
Other Names
  • Doug James Cerrato

View on SEC IAPD

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