Individual Firm
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JOSEPH ARTHUR DOTOLO
CRD#: 1727440
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 6515 Longshore Loop Ste 400
DUBLIN, OH 43017-2915
DUBLIN, OH 43017-2915
0
Disclosures
37
Years of Experience
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State Registrations
B
Arizona 8/25/2011
B
Ohio 10/5/2009
B
California 11/10/2016
IA
Ohio 10/5/2009
B
Florida 10/5/2009
B
Pennsylvania 10/5/2009
B
Georgia 10/5/2009
B
South Carolina 11/15/2022
B
Massachusetts 10/5/2009
IA
South Carolina 11/17/2022
B
Montana 10/5/2009
B
Utah 7/5/2023
B
New York 10/5/2009
B
West Virginia 10/5/2009
SRO Registrations
B
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Registered with this firm since 10/5/2009
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Registered with this firm since 10/5/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/29/2007 - 10/05/2009 | COLUMBUS, OH | |
B | 08/17/2007 - 10/05/2009 | COLUMBUS, OH | |
IA | 12/07/1999 - 08/22/2007 | COLUMBUS, OH | |
B | 01/16/1995 - 08/22/2007 | COLUMBUS, OH | |
B | 10/03/1988 - 02/16/1995 | NEW YORK, NY | |
B | 09/24/1987 - 10/26/1988 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.