Joseph R. Williams

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CRD#: 467976

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.

Joseph Robert Williams, who also goes by Joe Williams, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1982. Joseph had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.

Question & Answer

What are your service offerings?

Investment Management

Wealth Preservation Strategies

Retirement Planning Strategies

Are you a "fiduciary"?

Aliases

Joe Williams

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Other Business Activities; Expert Witness; Provide background information and possible testimony regarding asset allocation and historical investment performance for a client of attorney David N Hobson, Jr.; 500 Meadows Road, Suite 450, Lake Oswego, OR 97004, , , , , ; Investment-Related; 07/01/2019; 0 during trading hours; 1 to 9 hours per month.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 24, 2022 - March 5, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SILVERDALE, WA

Past

October 27, 2017 - December 31, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SILVERDALE, WA

Past

October 27, 2017 - March 5, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SILVERDALE, WA

Past

April 20, 2010 - November 1, 2017

FINANCIAL PLANNERS NORTHWEST, INC.

RIA

CRD#: 135563

PORTLAND, OR

Past

October 17, 2005 - December 31, 2009

FINANCIAL PLANNERS NORTHWEST, INC.

RIA

CRD#: 135563

PORTLAND, OR

Past

March 28, 2005 - November 16, 2017

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

PORTLAND, OR

Past

March 31, 2003 - March 28, 2005

CAMBRIDGE INVESTMENT RESEARCH, INC.

RIA

CRD#: 39543

PORTLAND, OR

Past

March 31, 2003 - November 8, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

PORTLAND, OR

Past

May 23, 2002 - April 14, 2003

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

LAKE OSWEGO, OR

Past

May 18, 2002 - April 14, 2003

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

April 4, 1996 - April 29, 2002

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

Past

May 2, 1995 - March 22, 1996

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

April 8, 1991 - May 18, 1995

WESTMARK SECURITIES, INC.

CRD#: 25687

Past

January 29, 1988 - August 1, 1990

AEGON USA SECURITIES INC.

CRD#: 13302

CEDAR RAPIDS, IA

Past

March 31, 1986 - November 27, 1987

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

Past

June 19, 1982 - January 3, 1985

AMERITRADE NORTHWEST, INC.

CRD#: 10215

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363 / SEC#: 801-28543, 8-16791

RIA

Registered Investment Advisory firm - SEC (12/5/1986 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/16/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 2/25/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/31/1992

General Securities Principal Examination

Current Firm

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363 / SEC#: 801-28543, 8-16791

RIA

Registered Investment Advisory firm - SEC (12/5/1986 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

9013rd Avenue South, Minneapolis, MN 55402

Mailing Address

5221 Ameriprise Financial Center, Minneapolis, MN 55474

Phone number

(612) 671-3131

Established

Delaware since 06/14/1971

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

14,000

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

AMERIPRISE MANAGED ACCOUNTS (9/26/2025)

AMERIPRISE MANAGED ACCOUNTS AND FINANCIAL PLANNING SERVICE (9/26/2025)

AMERIPRISE PREMIER RETIREMENT INCOME (7/25/2025)

AMERIPRISE FINANCIAL PLANNING SERVICE - LIMITED CONSULTING SERVICES SUPPLEMENT (3/28/2025)

AMERIPRISE FINANCIAL PLANNING SERVICE - DIVORCE FINANCIAL ANALYSIS SUPPLEMENT (3/28/2025)

AMERIPRISE RETIREMENT PLAN CONSULTING SERVICES (3/28/2025)

AMERIPRISE FINANCIAL PLANNING SERVICES - FLEXIBLE SERVICE SUPPLEMENT (3/28/2025)

AMERIPRISE FINANCIAL PLANNING SERVICES (3/28/2025)

AMERIPRISE FINANCIAL PLANNING SERVICE - CONSULTING SERVICE SUPPLEMENT (3/28/2025)

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	Cover Page	Report
09/23/2024	Cover Page	Report
10/24/2023	Cover Page	Report
12/16/2022	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Joseph R. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

FINANCIAL PLANNERS NORTHWEST, INC.

FINANCIAL PLANNERS NORTHWEST, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

FFP SECURITIES, INC.

SUNAMERICA SECURITIES, INC.

WESTMARK SECURITIES, INC.

AEGON USA SECURITIES INC.

CAPITAL BROKERAGE CORPORATION

AMERITRADE NORTHWEST, INC.

Primary Firm SEC Registration

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/16/1994

Series 63

Date: 6/26/1992

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 2/25/1972

Series 24

Date: 7/31/1992

Current Firm

AMERIPRISE FINANCIAL SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

AMERIPRISE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

Contact information

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