Joseph A Mocniak

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

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-16
TX	RA	APPROVED	2014-10-03

NY RA
APPROVED

Since 2021-04-16
TX RA
APPROVED

Since 2014-10-03

Branch Locations

Massapequa, NY • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Massapequa	NY	09/2005	03/2020
Ameriprise Financial Services, Llc	Massapequa	NY	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Massapequa, NY
03/2020 → Present

Ameriprise Financial Services, Llc

Massapequa, NY

Other Businesses

Business Ownership; Joseph A Mocniak Jr. Ltd.; ; Business mgmt; 4510 Merrick RoadMassapequa NY 11758, ,; ; ; 10 to 19 hours per month; . Outside Employment; Joseph A Mocniak Jr LTD; President -; ; 4510 Merrick Road Massapequa NY 11758, ,; ; ; 10 to 19 hours per month; .

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-08-09
S63	Uniform Securities Agent State Law Examination	1994-03-08

S65 Uniform Investment Adviser Law Examination

1994-08-09
S63 Uniform Securities Agent State Law Examination

1994-03-08

Designations

Certified Financial Planner

Other Names

Joseph August (Jr) Mocniak
Joseph A Mocniak Jr
Joseph A Mocniak Jr
Joseph August Mocniak

View on SEC IAPD