Joe S. Cotten
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.
Joe Sidney Cotten JR, who also goes by Joseph Sidney Cotten Jr, was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 1976. Joe had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, PC 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
December 3, 2010 - January 27, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
November 12, 2010 - January 27, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
June 27, 2008 - December 10, 2010
HILLTOP SECURITIES INC.
June 27, 2008 - December 10, 2010
HILLTOP SECURITIES INC.
August 30, 2002 - July 3, 2008
WELLS FARGO CLEARING SERVICES, LLC
August 30, 2002 - July 3, 2008
WELLS FARGO CLEARING SERVICES, LLC
February 16, 2001 - September 3, 2002
CONTINENTAL BROKER-DEALER CORP.
August 15, 1994 - March 16, 2001
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - August 24, 1994
CITIGROUP GLOBAL MARKETS INC.
May 18, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
June 19, 1986 - June 13, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
April 13, 1981 - July 16, 1986
PRINCIPAL FINANCIAL SECURITIES,INC.
January 31, 1980 - May 10, 1981
UBS FINANCIAL SERVICES INC.
December 1, 1976 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
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
PC
Date: 12/31/1979
AMEX Put and Call ExamCurrent 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.
