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Joel Michael Schwartz

Ameriprise Financial Services, LLC

Greenwood Village, CO

Parker, CO

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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 2023-10-26
CO RA APPROVED 2017-10-30
  • TX RA
    APPROVED_RES
    Since 2023-10-26
  • CO RA
    APPROVED
    Since 2017-10-30

Branch Locations

5420 S Quebec St Ste 105, Greenwood Village, CO 80111 • United States

Parker, CO • 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
Fidelity Brokerage Services Llc Greenwood Village CO 10/2015 05/2017
Unemployed Denver CO 05/2017 09/2017
Ameriprise Financial Services, Inc. Greenwood Village CO 09/2017 03/2020
Ameriprise Financial Services, Llc Greenwood Village CO 03/2020 Present
  • 10/2015 → 05/2017
    Fidelity Brokerage Services Llc
    Greenwood Village, CO
  • 05/2017 → 09/2017
    Unemployed
    Denver, CO
  • 09/2017 → 03/2020
    Ameriprise Financial Services, Inc.
    Greenwood Village, CO
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    Greenwood Village, CO
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-01
S63 Uniform Securities Agent State Law Examination 2015-12-28
  • S66 Uniform Combined State Law Examination
    2016-12-01
  • S63 Uniform Securities Agent State Law Examination
    2015-12-28
Designations

View on SEC IAPD

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