Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Sullivan is a financial advisor in New York, NY. Joseph has 42 years of experience in the financial services industry. He has a Series 3, 7, 63, and SIE license and is currently registered with Ameriprise Financial Services, LLC. Joseph has previously been registered with several other firms including Gilford Securities Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Prudential Securities Incorporated, Smith Barney, Harris Upham & Co., Incorporated, and E. F. Hutton & Company Inc. Joseph's specializations include: asset allocation, financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisors, portfolio management for businesses, and portfolio management for individuals.
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.
1
2
NY
04/16/2021 - Present
Ameriprise Financial Services, LLC (NEW YORK NY)
NY
08/12/2008 - 09/23/2015
GILFORD SECURITIES INCORPORATED (NEW YORK NY)
NY
03/26/1996 - 08/13/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/01/1988 - 04/04/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
07/16/1984 - 07/12/1988
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
12/22/1980 - 07/16/1984
E. F. HUTTON & COMPANY INC
BC
Issued 03/31/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/1983
Series 3 - National Commodity Futures Examination
BC
Issued 12/20/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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