Joshua K. Damron
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.
Joshua Kyle Damron, who also goes by Joshua Kyle Damron, Josh Damron, Joshua K Damron, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2016. Joshua had worked at 12 firms and has passed the Series 66, Series 63, SIE 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
July 18, 2024 - September 10, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
July 16, 2024 - September 10, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
January 14, 2022 - July 17, 2024
WESBANCO SECURITIES, INC.
September 28, 2021 - July 17, 2024
WESBANCO SECURITIES, INC.
July 22, 2021 - September 24, 2021
TRUIST ADVISORY SERVICES, INC.
July 14, 2021 - September 24, 2021
TRUIST INVESTMENT SERVICES, INC.
February 12, 2021 - March 22, 2021
THE HUNTINGTON INVESTMENT COMPANY
February 10, 2021 - March 22, 2021
THE HUNTINGTON INVESTMENT COMPANY
March 24, 2020 - December 16, 2020
CREATIVE FINANCIAL SOLUTIONS, LLC
January 17, 2020 - December 22, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 15, 2020 - December 22, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 18, 2019 - October 3, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 30, 2019 - October 3, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 13, 2018 - February 7, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 31, 2017 - July 13, 2018
STRATEGIC ADVISERS LLC
April 11, 2016 - February 6, 2019
FIDELITY BROKERAGE SERVICES LLC
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.
