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Joseph Michael Sullivan

Ameriprise Financial Services, LLC

New York, NY

New York, NY

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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 2025-02-28
NY RA APPROVED 2021-04-16
  • TX RA
    APPROVED_RES
    Since 2025-02-28
  • NY RA
    APPROVED
    Since 2021-04-16

Branch Locations

530 5Th Ave 10Th Floor, New York, NY 10036 • United States

New York, NY • 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. New York NY 08/2015 03/2020
Ameriprise Financial Service, Llc New York NY 08/2015 03/2020
Ameriprise Financial Services, Llc New York NY 03/2020 Present
  • 08/2015 → 03/2020
    Ameriprise Financial Services, Inc.
    New York, NY
  • 08/2015 → 03/2020
    Ameriprise Financial Service, Llc
    New York, NY
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    New York, NY
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1981-03-31
  • S63 Uniform Securities Agent State Law Examination
    1981-03-31
Other Names
  • Joseph Sullivan
  • Joseph M Sullivan

View on SEC IAPD

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