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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Poulton is an investment advisor representative with Ameriprise Financial Services, LLC. John has been in the financial services industry since 1984, working for a number of firms, including Morgan Stanley, Wachovia Securities, LLC, Salomon Smith Barney Inc. and Lehman Brothers Inc. John's licenses and certifications include Series 3, Series 5, Series 7, Series 15, Series 63, Series 65, and the Securities Industry Essentials Examination. John is also a Certified Financial Planner. John provides asset allocation services, financial planning, educational seminars, and portfolio management for individuals and businesses. John is registered with the Securities and Exchange Commission (SEC) and is also registered as an Investment Advisor in Rhode Island and Texas.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
RI
06/27/2014 - Present
Ameriprise Financial Services, LLC (PROVIDENCE RI)
RI
06/01/2009 - 07/07/2014
MORGAN STANLEY (PROVIDENCE RI)
RI
01/09/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PROVIDENCE RI)
RI
10/20/2000 - 01/26/2009
WACHOVIA SECURITIES, LLC (PROVIDENCE RI)
NY
07/31/1993 - 10/27/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
01/26/1984 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 10/31/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/01/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/15/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 05/15/1985
Series 5 - Interest Rate Options Examination
BC
Issued 03/07/1984
Series 3 - National Commodity Futures Examination
BC
Issued 01/21/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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