Joseph A. Zaragoza
Professional summary
Joseph Andrew Zaragoza JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Joseph had worked at 8 firms, which includes AMERIPRISE ADVISOR SERVICES INC., SANCTUARY SECURITIES INC., WELLS FARGO CLEARING SERVICES LLC, PRINCIPAL FINANCIAL SECURITIESINC., GRUNTAL & CO. L.L.C., DICKINSON & CO., RODMAN & RENSHAW INC., CHATFIELD DEAN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2002 - August 7, 2007
AMERIPRISE ADVISOR SERVICES, INC.
November 18, 1999 - July 15, 2002
SANCTUARY SECURITIES, INC.
May 11, 1998 - December 1, 1999
WELLS FARGO CLEARING SERVICES, LLC
July 18, 1997 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
May 19, 1995 - July 28, 1997
GRUNTAL & CO., L.L.C.
November 22, 1994 - April 4, 1995
DICKINSON & CO.
April 20, 1994 - November 22, 1994
RODMAN & RENSHAW INC.
November 24, 1993 - January 25, 1994
CHATFIELD DEAN & CO., INC.
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 ADVISOR SERVICES, INC.
CRD#: 5979 / SEC#: , 8-16752
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING CORPORATION | SHAREHOLDER | |
| ANDREW, DAVID CRESWELL | CHIEF LEGAL OFFICER, SENIOR VICE PRESIDENT | 2984773 |
| CLIFFORD, TIMOTHY JOHN | VP, ENTERPRISE SCALE & TAX PARTNERING | 1061464 |
| CRACCHIOLO, JAMES MICHAEL | DIRECTOR | 4251944 |
| DOYLE, DAVID TIMOTHY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2552281 |
| FILDES, LISA SUE | SECRETARY | 1596975 |
| FROUDE, DONALD E | PRESIDENT, CEO, DIRECTOR | 1002120 |
| GESCHKE, DAVID EDWARD | SVP, CHIEF OPERATING OFFICER, DIVISIONAL DIRECTOR, DIRECTOR | 1618774 |
| MCASKIN, DAN MICHAEL | VICE PRESIDENT, DIRECTOR OF OPERATIONS, DIRECTOR | 1099566 |
| O'CONNELL, PATRICK HUGH | SVP, DIVISIONAL DIRECTOR | 2246285 |
| SCHERMAN, JEFFREY JOSEPH | CFO | 4338820 |
| SMITH, ERNEST ROBERT | VICE PRESIDENT | 2362379 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
| TOWNSEND, MICHAEL WILLIAM | VP, DIVISIONAL DIRECTOR | 2244230 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 165 |
Red Flags
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