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Detailed Report
JOSEPH LAVOYD PATES
CRD#: 2413445
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 242 S DE LACEY AVE
PASADENA, CA 91105-2006
Registration History
19952000200520102015202020252 FIRMS2007 - 2010 (2 years)2 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - Present (12 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2003 - 2007 (4 years)BWM FINANCIAL SERVICES, INC. (CRD# 599)1999 - 2003 (4 years)BGRIFFIN FINANCIAL SERVICES (CRD# 10823)1998 - 1999 (<1 year)BFIMCO SECURITIES GROUP, INC. (CRD# 30343)1993 - 1998 (4 years)IACITICORP INVESTMENT SERVICES (CRD# 23988)2004 - 2007 (3 years)
Disclosure(s)
View By:
10/23/2000
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 6/4/2012
B
New Mexico 3/21/2016
B
California 6/4/2012
B
New York 3/21/2016
IA
California 6/4/2012
B
North Carolina 6/16/2020
B
Colorado 9/24/2014
B
Ohio 4/13/2021
B
Georgia 8/26/2014
B
Oregon 8/29/2018
B
Hawaii 8/13/2014
B
Texas 6/4/2012
B
Idaho 4/29/2014
IA
Texas 6/4/2012
B
Illinois 10/29/2015
B
Washington 6/4/2012
B
Nevada 6/4/2012

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
242 S DE LACEY AVE, PASADENA, CA 91105-2006
Glendale, CA
Registered with this firm since 6/4/2012
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
242 S DE LACEY AVE, PASADENA, CA 91105-2006
Glendale, CA
Registered with this firm since 6/4/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/18/2010 - 06/01/2012 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) PASADENA, CA
B
 03/18/2010 - 06/01/2012 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) PASADENA, CA
IA
 05/29/2007 - 04/15/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PASADENA, CA
B
 05/29/2007 - 04/15/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PASADENA, CA
IA
 01/07/2004 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) PASADENA, CA
B
 04/07/2003 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) PASADENA, CA
B
 01/01/1999 - 04/11/2003 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
B
 03/03/1998 - 01/01/1999 GRIFFIN FINANCIAL SERVICES (CRD#:10823)
B
 11/22/1993 - 03/07/1998 FIMCO SECURITIES GROUP, INC. (CRD#:30343) PORT WASHINGTON, WI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.