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Peter Joseph Barone

Ameriprise Financial Services, LLC

Garden City, NY

Hauppauge, NY

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-16
TX RA APPROVED_RES 2009-12-12
  • NY RA
    APPROVED
    Since 2021-04-16
  • TX RA
    APPROVED_RES
    Since 2009-12-12

Branch Locations

401 Franklin Ave Ste 101 & Ste 103, Garden City, NY 11530 • United States

Hauppauge, 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
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Melville NY 11/2009 03/2020
Ameriprise Financial Services, Llc Garden City NY 03/2020 Present
Previous Registrations
  • 2006-04-24 → 2009-11-25
    Td Wealth Management Services Inc.
    Melville, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-08-29
S63 Uniform Securities Agent State Law Examination 1985-11-04
  • S65 Uniform Investment Adviser Law Examination
    1996-08-29
  • S63 Uniform Securities Agent State Law Examination
    1985-11-04
Other Names
  • Peter Joseph Barone
  • Peter Barone

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
ARKADIOS WEALTH ADVISORS · Garden City, NY
CETERA INVESTMENT ADVISERS LLC · Garden City, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
CETERA INVESTMENT ADVISERS LLC · GARDEN CITY, NY
BRIXTON CAPITAL WEALTH ADVISORS, LLC · GARDEN CITY, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Garden City, NY
OSAIC WEALTH, INC. · GARDEN CITY, NY

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