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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2022-12-13
TX RA APPROVED_RES 2022-12-13
  • IN RA
    APPROVED
    Since 2022-12-13
  • TX RA
    APPROVED_RES
    Since 2022-12-13

Branch Locations

901 S A St, Richmond, IN 47374-5521 • United States

Richmond, IN • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
David A. Noyes & Company Richmond IN 02/2014 08/2018
Noyes Advisors Llc Chicago IL 08/2015 08/2018
Thurston Springer Advisors Indianapolis` IN 08/2020 12/2022
Thurston Springer Financial Indianapolis IN 08/2018 12/2022
Ameriprise Financial Services, Llc Richmond IN 12/2022 Present
  • 02/2014 → 08/2018
    David A. Noyes & Company
    Richmond, IN
  • 08/2015 → 08/2018
    Noyes Advisors Llc
    Chicago, IL
  • 08/2020 → 12/2022
    Indianapolis`, IN
  • 08/2018 → 12/2022
    Thurston Springer Financial
    Indianapolis, IN
  • 12/2022 → Present
    Richmond, IN
Previous Registrations
Other Businesses

Business Ownership; Wesley Bates WMS LLC; co-owner; LLC specifically for Ameriprise financial related expenses; 901 s A st, , Richmond, IN, 47374; Not Investment-Related; 03/01/2011; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-09-15
S63 Uniform Securities Agent State Law Examination 1993-05-06
  • S66 Uniform Combined State Law Examination
    2005-09-15
  • S63 Uniform Securities Agent State Law Examination
    1993-05-06
Other Names
  • Joseph R Wesley
  • Joseph Wesley
  • Joe Randall Wesley
  • Joe R Wesley
  • Joe Wesley

View on SEC IAPD

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