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Joseph David Mallory

Ameriprise Financial Services, LLC

Simpsonville, KY

Louisville, KY

CRD 8003822

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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
TX RA APPROVED 2026-02-27
KY RA APPROVED 2025-07-10
  • TX RA
    APPROVED
    Since 2026-02-27
  • KY RA
    APPROVED
    Since 2025-07-10

Branch Locations

Simpsonville, KY • United States

805 N Whittington Pkwy Ste 100, Louisville, KY 40222 • 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 Llc Louisville KY 10/2024 Present
University Of Kentucky Lexington KY 08/2019 05/2024
General Electric Appliances Louisville KY 05/2021 08/2021
General Electric Appliances Louisville KY 05/2022 08/2022
The Hill Lexington KY 09/2022 05/2024
Jim Chambers Architectural Products Simpsonville KY 05/2019 08/2019
Tri-State Louisville KY 05/2018 08/2018
Christian Academy Of Louisville Louisville KY 08/2015 05/2019
Unemployed Simpsonville KY 05/2024 10/2024
  • 10/2024 → Present
    Ameriprise Financial Services Llc
    Louisville, KY
  • 08/2019 → 05/2024
    University Of Kentucky
    Lexington, KY
  • 05/2021 → 08/2021
    General Electric Appliances
    Louisville, KY
  • 05/2022 → 08/2022
    General Electric Appliances
    Louisville, KY
  • 09/2022 → 05/2024
    The Hill
    Lexington, KY
  • 05/2019 → 08/2019
    Jim Chambers Architectural Products
    Simpsonville, KY
  • 05/2018 → 08/2018
    Tri-State
    Louisville, KY
  • 08/2015 → 05/2019
    Christian Academy Of Louisville
    Louisville, KY
  • 05/2024 → 10/2024
    Unemployed
    Simpsonville, KY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-07-10
  • S66 Uniform Combined State Law Examination
    2025-07-10
Other Names
  • Joey Mallory

View on SEC IAPD

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