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Daniel Chareles Bertolet

Ameriprise Financial Services, LLC

Scottsdale, AZ

Scottsdale, AZ

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-08-20
CO RA APPROVED 2025-08-19
  • TX RA
    APPROVED_RES
    Since 2025-08-20
  • CO RA
    APPROVED
    Since 2025-08-19

Branch Locations

16220 N Scottsdale Rd Ste 250, Scottsdale, AZ 85254 • United States

Scottsdale, AZ • 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
Wedbush Securities Inc Scottsdale AZ 11/2014 08/2025
Ameriprise Financial Services, Llc Scottsdale AZ 08/2025 Present
Previous Registrations
  • 2014-11-07 → 2025-08-19
    Wedbush Securities Inc.
    Scottsdale, AZ
    Newport Beach, CA
    Scottsdale, AZ
    Denver, CO
  • 2009-06-01 → 2014-11-17
    Morgan Stanley
    Menlo Park, CA
    Scottsdale, AZ
  • 2004-12-15 → 2009-06-01
    Citigroup Global Markets Inc.
    Menlo Park, CA
    Menlo Park, CA
  • 1997-07-08 → 2004-12-16
    Morgan Stanley Dw Inc.
    Los Gatos, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-08-14
S63 Uniform Securities Agent State Law Examination 1992-07-31
  • S65 Uniform Investment Adviser Law Examination
    1992-08-14
  • S63 Uniform Securities Agent State Law Examination
    1992-07-31
Other Names
  • Daniel C Bertolet

View on SEC IAPD

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