Joseph A. Small
Professional summary
Joseph Alan Small, who also goes by Joey Small, is a registered financial advisor currently at AMERIPRISE FINANCIAL SERVICES, LLC located in Little Rock, Arkansas.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Joseph has worked at 2 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
AMERIPRISE FINANCIAL SERVICES, LLC - Registered Investment Advisory firm
Version Date: Sat Sep 23 2023When you choose to work with your Ameriprise financial advisor and Ameriprise Financial Services, LLC, our goal is to help you plan for a confident financial future.
We are proud to adhere to the consumer protection principles of important industry organizations. By choosing us, you are working with a firm that is registered with the Securities and Exchange Commission (SEC) as both an investment adviser and a broker-dealer. We are also a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).
We’re providing this summary to help you choose products and services that are right for you and understand the differences and fees associated with them.
Fees and Costs:
Financial planning
You will either pay a fixed dollar amount or asset-based fee for financial planning services. For most financial plans, the amount will vary based on the complexity of your personal situation and the advice you are seeking. These fees may be paid monthly, quarterly or annually.
Managed account
In a managed account, you will pay an asset-based fee, which is based on a percentage of your account value, charged in advance and assessed monthly. The exact percentage you pay takes into account factors such as the size of your account and the complexity of your situation. Because of that, the dollar amount you pay will generally increase with the value of your account, and we have an incentive to encourage you to increase assets in your account. Depending on the managed account program you select, the asset-based fee includes:
An advisory fee that you determine with your financial advisor.
Costs for the work we do to maintain our platform.
Fees you pay to an additional investment manager that you may choose to select.
In addition to those described above, you may have different expenses based on the products and services you choose. You may also pay for additional services you request, such as wire transfers.
Impact of fees on your investments
You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.
At Ameriprise, all clients have an opportunity to discuss key financial goals with their financial advisor and track one or two priority goals online at no additional cost. As you continue to work together, you may choose to receive more comprehensive advice from your advisor through a financial planning relationship, as appropriate for your personal situation and financial goals.
Questions to ask your Professional:
- Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?
Conflicts of Interest:
When we provide you with a recommendation as your broker-dealer or act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the recommendations and investment advice we provide you. Here are some examples to help you understand what this means.
When you purchase an investment product such as a mutual fund or annuity that includes internal fees for management and other services, Ameriprise earns more money than if you purchase an investment that does not have internal fees such as a stock or bond. This is because Ameriprise generally receives a portion of these fees from the service providers to these investment products, which helps fund the cost of maintaining accounts and offering an investment platform to our clients.
When you hold a brokerage or advisory account with us, we’ll earn revenue on your cash within our sweep programs. If your cash is swept to our affiliated bank, then Ameriprise Bank, FSB earns “spread revenue” — the difference between the revenue it earns and the interest it pays you — on your deposits. This spread revenue compensates our bank for the operational costs and risks it bears. Our affiliated clearing brokerdealer receives revenue sharing from our mutual fund sweep program and receives payments from third-party banks with respect to our multi-bank sweep program.
When you purchase an investment product from a company affiliated with Ameriprise, we receive revenue associated with the fees charged by the product for the services provided to you. Examples of affiliated products include: Columbia Threadneedle investments, RiverSource annuities or life insurance and Ameriprise certificates.
Certain products we offer, such as individual bonds, can be purchased from or sold directly to our affiliated clearing broker-dealer through what is referred to as a principal trade. By conducting a principal trade, we are often able to provide greater liquidity and access to securities. Our clearing broker-dealer affiliate generally receives more compensation from principal trades than trades that occur in the market.
Questions to ask your Professional:
- How might your conflicts of interest affect me, and how will you address them?
How do your financial professionals make money?
Our financial advisors are compensated differently depending on their affiliation with us and the type of products and services they provide to you.
With investment advisory services, including both financial planning and managed accounts, your financial advisor receives a percentage of any advisory fees you pay.
With brokerage services, your financial advisor receives a percentage of the brokerage commissions you pay and ongoing fees from certain investment products you may hold.
The percentage of payments described above varies based on the amount of commissions your financial advisor generates annually, number of clients and assets under management.
Some financial advisors also receive a salary from us.
Most of our financial advisors receive gifts and entertainment from the sponsors of products we offer, though we restrict the amount they are allowed to receive consistent with industry regulations.
CRS (Client Relationship Summary) - BD
AMERIPRISE FINANCIAL SERVICES, LLC - Broker-Dealer Firm
Version Date: Sat Sep 23 2023When you choose to work with your Ameriprise financial advisor and Ameriprise Financial Services, LLC, our goal is to help you plan for a confident financial future.
We are proud to adhere to the consumer protection principles of important industry organizations. By choosing us, you are working with a firm that is registered with the Securities and Exchange Commission (SEC) as both an investment adviser and a broker-dealer. We are also a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).
We’re providing this summary to help you choose products and services that are right for you and understand the differences and fees associated with them.
Fees and Costs:
Brokerage services
In a brokerage account, you will pay a quarterly maintenance or custodial fee, which may be waived if your account meets certain asset levels. You will pay transaction-based fees when you buy and sell securities. This means if you make more trades, you will pay more in fees and if you make fewer trades, you will pay less in fees.
With individual securities like stocks, bonds and ETFs, you will pay a transaction-based commission that varies based on the value of the trade.
With investment products such as mutual funds, you will either pay an upfront commission or a back-end sales charge if you sell the position before a set time frame.
You will also pay a flat order handling fee when you buy or sell most securities.
In addition to those described above, you may have different expenses based on the products and services you choose. You may also pay for additional services you request, such as wire transfers.
Impact of fees on your investments
You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.
At Ameriprise, all clients have an opportunity to discuss key financial goals with their financial advisor and track one or two priority goals online at no additional cost. As you continue to work together, you may choose to receive more comprehensive advice from your advisor through a financial planning relationship, as appropriate for your personal situation and financial goals.
Questions to ask your Professional:
- Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?
Conflicts of Interest:
When we provide you with a recommendation as your broker-dealer or act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the recommendations and investment advice we provide you. Here are some examples to help you understand what this means.
When you purchase an investment product such as a mutual fund or annuity that includes internal fees for management and other services, Ameriprise earns more money than if you purchase an investment that does not have internal fees such as a stock or bond. This is because Ameriprise generally receives a portion of these fees from the service providers to these investment products, which helps fund the cost of maintaining accounts and offering an investment platform to our clients.
When you hold a brokerage or advisory account with us, we’ll earn revenue on your cash within our sweep programs. If your cash is swept to our affiliated bank, then Ameriprise Bank, FSB earns “spread revenue” — the difference between the revenue it earns and the interest it pays you — on your deposits. This spread revenue compensates our bank for the operational costs and risks it bears. Our affiliated clearing brokerdealer receives revenue sharing from our mutual fund sweep program and receives payments from third-party banks with respect to our multi-bank sweep program.
When you purchase an investment product from a company affiliated with Ameriprise, we receive revenue associated with the fees charged by the product for the services provided to you. Examples of affiliated products include: Columbia Threadneedle investments, RiverSource annuities or life insurance and Ameriprise certificates.
Certain products we offer, such as individual bonds, can be purchased from or sold directly to our affiliated clearing broker-dealer through what is referred to as a principal trade. By conducting a principal trade, we are often able to provide greater liquidity and access to securities. Our clearing broker-dealer affiliate generally receives more compensation from principal trades than trades that occur in the market.
Questions to ask your Professional:
- How might your conflicts of interest affect me, and how will you address them?
How do your financial professionals make money?
Our financial advisors are compensated differently depending on their affiliation with us and the type of products and services they provide to you.
With investment advisory services, including both financial planning and managed accounts, your financial advisor receives a percentage of any advisory fees you pay.
With brokerage services, your financial advisor receives a percentage of the brokerage commissions you pay and ongoing fees from certain investment products you may hold.
The percentage of payments described above varies based on the amount of commissions your financial advisor generates annually, number of clients and assets under management.
Some financial advisors also receive a salary from us.
Most of our financial advisors receive gifts and entertainment from the sponsors of products we offer, though we restrict the amount they are allowed to receive consistent with industry regulations.
Certified licenses
Experience
April 9, 1999 - Present
AMERIPRISE FINANCIAL SERVICES, LLC
Office #1: 36 Rahling Cir Ste 2, Little Rock, AR 72223-9187Office #2: 101 Dentista Dr Ste K, Hot Springs Village, AR 71909Office #4: 4200 E Skelly Dr Ste 1015, Tulsa, OK 74135-3241March 22, 1999 - Present
AMERIPRISE FINANCIAL SERVICES, LLC
Office #1: 36 Rahling Cir Ste 2, Little Rock, AR 72223-9187Office #2: 101 Dentista Dr Ste K, Hot Springs Village, AR 71909Office #3: 4200 E Skelly Dr Ste 1015, Tulsa, OK 74135-3241March 22, 1999 - July 3, 2006
IDS 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
(8/15/2017)
(10/27/2005)
(4/6/1999)
(4/9/1999)
(11/9/2007)
(12/10/2009)
(12/12/2005)
(2/4/2011)
(8/7/2008)
(12/10/2009)
(10/8/2015)
(6/25/2018)
(11/16/2009)
(9/11/2019)
(12/5/2019)
(3/23/2015)
(8/7/2008)
(1/15/2002)
(6/11/2019)
(12/5/2019)
(11/2/2007)
(7/29/2019)
(12/10/2009)
(9/7/2022)
(1/25/2012)
(3/28/2012)
(3/12/2002)
(1/5/2005)
(6/20/2019)
(3/13/2012)
(7/11/2022)
(11/8/2002)
(7/24/2000)
(10/9/2006)
(12/23/2015)
(6/25/2018)
(11/9/2015)
(5/12/2010)
(5/1/2018)
Exams
FINRA
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.
Company Information
AMERIPRISE FINANCIAL SERVICES, LLC
PresidentCRD#: 6363Little Rock, AR 72223-9187TRUST BUT VERIFY
Monitor Joseph Small
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