Lawrence J. Granata
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.
Lawrence Joesph Granata, who also goes by Joe Granata, L Joseph Granata, Lawrence Joseph Granata, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1983. Lawrence had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 10, Series 9, Series 14, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2017 - June 2, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
September 6, 2017 - June 2, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
March 27, 2006 - September 21, 2016
COMERICA SECURITIES
March 27, 2006 - September 21, 2016
COMERICA SECURITIES
July 19, 2004 - March 28, 2006
AMERIPRISE ADVISOR SERVICES, INC.
March 11, 2002 - March 28, 2006
AMERIPRISE ADVISOR SERVICES, INC.
January 15, 1992 - November 5, 2001
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
May 26, 1989 - January 3, 1992
CHARLES SCHWAB & CO., INC.
April 20, 1987 - May 20, 1989
AMERIPRISE ADVISOR SERVICES, INC.
December 18, 1986 - March 24, 1987
EMPIRE NATIONAL SECURITIES, INCORPORATED
January 24, 1984 - November 28, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
January 24, 1984 - December 3, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
February 22, 1983 - January 9, 1984
METROPOLITAN LIFE INSURANCE COMPANY
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
Series 8
Date: 10/9/1991
General Securities Sales Supervisor Examination (Options Module & General Module)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.
