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RIA / WealthAdvisor20 years in industry

Joanna Kim

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

WHITE PLAINS, NY

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Search this name across graphsid dfx:ria:303bd754-66a6-fe37-4839-1bece4fa4697

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 7, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 27, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 4
Exams: S66
First exam: Mar 27, 2006
First registration: Apr 7, 2006
Dual registered: no
Other names: JOANNA KIM|JOANNA MARIA SAWRUK-KIM|JOANNA M. SAWRUK|JOANNA MARIA SAWRUK|JOANNA MARIA KIM
IAPD individual key: 5070911

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 22, 2022	n/a	yes	WHITE PLAINS, NY	Current employment
UNFCU ADVISORS LLC	Other adviser	Jan 26, 2019	Aug 20, 2020	no	New York, NY	Previous registration
B. RILEY CAPITAL MANAGEMENT	Former SEC adviser	Nov 20, 2015	Jan 2, 2019	no	New York, NY	Previous registration
LADENBURG THALMANN ASSET MANAGEMENT INC	Other adviser	May 26, 2010	Feb 27, 2012	no	n/a	Previous registration
LADENBURG THALMANN ASSET MANAGEMENT INC	Other adviser	Apr 24, 2007	Sep 18, 2009	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Apr 7, 2006	Mar 14, 2007	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UNFCU ADVISORS LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Aug 20, 2020	Dec 22, 2022	854	Firm change after gap	RIA to ibd
B. RILEY CAPITAL MANAGEMENT	UNFCU ADVISORS LLC	Jan 2, 2019	Jan 26, 2019	24	Firm change	Other
LADENBURG THALMANN ASSET MANAGEMENT INC	B. RILEY CAPITAL MANAGEMENT	Feb 27, 2012	Nov 20, 2015	1,362	Firm change after gap	Other
CITICORP INVESTMENT SERVICES	LADENBURG THALMANN ASSET MANAGEMENT INC	Mar 14, 2007	Apr 24, 2007	41	Firm change	Other

Relationships

Registered with (5)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Dec 22, 2022 to presentfactForm ADV
→ UNFCU ADVISORS LLCRegistered adviserregistration: previous registration
Jan 26, 2019 to Aug 20, 2020factForm ADV
→ B. RILEY CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Nov 20, 2015 to Jan 2, 2019factForm ADV
→ LADENBURG THALMANN ASSET MANAGEMENT INCRegistered adviserregistration: previous registration
May 26, 2010 to Feb 27, 2012factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Apr 7, 2006 to Mar 14, 2007factForm ADV

Dated events

No dated event names this entity yet.