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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 2006-10-03
CT RA APPROVED 1992-07-28
  • NY RA
    APPROVED
    Since 2021-04-16
  • TX RA
    APPROVED_RES
    Since 2006-10-03
  • CT RA
    APPROVED
    Since 1992-07-28

Branch Locations

800 Westchester Ave Ste 508, Rye Brook, NY 10573 • United States

Stamford, CT • 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. Rye Brook NY 09/2005 03/2020
Ameriprise Financial Services, Llc Rye Brook NY 03/2020 Present
Other Businesses

Business Ownership; JP-2C and Associates; ; LLC used as pass-through to manage office expenses.; 800 Westchester AvenueSuite508Rye Brook, NY 10573, ,; ; 08/05/2009; 1 to 9 hours per month; / JPM Management Group LLC; ; I established this LLC with two other advisors for the sole purpose of the payment of office rent and common shared expenses such as copiers, faxes, etc.; 800 Westchester AvenueSuite S-508Rye Brook, NY 10573, ,; Not Investment-Related; 09/09/2013; 1 to 9 hours per month; 1 to 9 during trading hours / LLB92; Co-owner; Manage Ameriprise Business; 800 Westchester Ave, Suite S-508, Rye Brook, NY, 10573; Investment-Related; 07/27/2023; 40 to 59 hours per month; 60 during trading hours / LLB23; Co-owner; Manage Ameriprise Business; 800 Westchester Ave, Suite S-508, Rye Brook, NY, 10573; Investment-Related; 07/27/2023; 40 to 59 hours per month; 60 during trading hours / L&A92; Owner; Manage Ameriprise Business; 800 Westchester Avenue, Suite S-508, Rye Brook, NY, 10573; Investment-Related; 01/01/2024; 40 to 59 hours per month; 60 during trading hours. Outside Employment; LLB92; Co-owner; Manage advisory business; 800 Westchester Avenue, Suite S-508, Rye Brook, NY, 10573; Investment-Related; 01/01/2024; 40 to 59 hours per month; 60 during trading hours / LLB23; Co-owner; Manage advisory business; 800 Westchester Avenue, Suite S-508, Rye Brook, NY, 10573; Investment-Related; 01/01/2024; 40 to 59 hours per month; 60 during trading hours / L&A92; Owner; Manage advisory business; 800 Westchester Avenue, Suite S-508, Rye Brook, NY, 10573; Investment-Related; 01/01/2024; 40 to 59 hours per month; 60 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-01-10
  • S63 Uniform Securities Agent State Law Examination
    1992-01-10
Other Names
  • Joe Lombardi
  • Joseph P Lombardi

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