Joanna M. Jervis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joanna Maria Jervis, who also goes by Joanna Maria Jervis, Joanna Kazer, was a registered financial professional .
Joanna is a previously registered financial professional and started their career in finance in 1981. Joanna had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2018 - January 6, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
August 16, 2018 - January 6, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
August 19, 2011 - August 23, 2018
SUMMIT FINANCIAL GROUP INC
August 19, 2011 - August 23, 2018
SUMMIT BROKERAGE SERVICES, INC.
December 6, 2010 - August 22, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 6, 2010 - August 22, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 17, 2006 - June 26, 2009
CETERA INVESTMENT SERVICES LLC
November 17, 2006 - June 26, 2009
BANCNORTH INVESTMENT GROUP, INC.
September 27, 2002 - November 22, 2006
TD WEALTH MANAGEMENT SERVICES INC.
March 3, 1999 - October 14, 1999
ESSEX NATIONAL SECURITIES, LLC
February 28, 1999 - November 22, 2006
TD WEALTH MANAGEMENT SERVICES INC.
September 16, 1996 - January 28, 1999
FIRST UNION BROKERAGE SERVICES, INC.
October 16, 1991 - August 27, 1996
CAL FED INVESTMENTS
January 21, 1991 - August 22, 1991
UBS FINANCIAL SERVICES INC.
October 27, 1989 - September 18, 1990
A. G. EDWARDS & SONS, INC.
June 14, 1988 - November 14, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 24, 1981 - July 8, 1988
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
