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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

JOSEPH ANTHONY MINER

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Wooster, OH | Seven Hills, OH | Sharon, PA

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Search this name across graphsid dfx:ria:67c97de5-0a33-1d0d-e4ad-34a1d154096e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jun 17, 2004 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: Nov 29, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63|S66
First exam: Nov 29, 1995
First registration: Jun 17, 2004
Dual registered: yes, broker-dealer
Other names: JOSEPH MINER|JOE MINER|JOSEPH A MINER
IAPD individual key: 2657730

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	Jan 16, 2014	n/a	yes	Seven Hills, OH\|Sharon, PA\|Wooster, OH	Current employment
STRATOS WEALTH PARTNERS, LTD	Bd affiliated wealth	Aug 13, 2010	Mar 28, 2013	no	FAIRLAWN, OH	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 12, 2010	Dec 31, 2010	no	AKRON, OH	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Apr 12, 2010	no	CLEVELAND, OH\|Cleveland, OH	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Jul 16, 2007	Jun 1, 2009	no	CLEVELAND, OH	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 7, 2005	Jul 17, 2007	no	CLEVELAND, OH\|CLEVELAND, OH	Previous registration
NORTH POINT PORTFOLIO MANAGERS CORPORATION	Independent wealth	Jun 17, 2004	Jan 4, 2005	no	MAYFIELD HTS, OH	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
STRATOS WEALTH PARTNERS, LTD	AMERIPRISE FINANCIAL SERVICES, LLC	Mar 28, 2013	Jan 16, 2014	294	Firm change	Other
LPL FINANCIAL LLC	STRATOS WEALTH PARTNERS, LTD	Dec 31, 2010	Aug 13, 2010	-140	Firm change after gap	Other
MORGAN STANLEY	LPL FINANCIAL LLC	Apr 12, 2010	Apr 12, 2010	0	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY & CO. LLC	Jul 17, 2007	Jul 16, 2007	-1	Firm change	Other
NORTH POINT PORTFOLIO MANAGERS CORPORATION	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 4, 2005	Jul 7, 2005	184	Firm change	Other

Relationships

Registered with (7)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jan 16, 2014 to presentfactForm ADV
→ STRATOS WEALTH PARTNERS, LTDRegistered adviserregistration: previous registration
Aug 13, 2010 to Mar 28, 2013factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Apr 12, 2010 to Dec 31, 2010factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Apr 12, 2010factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Jul 16, 2007 to Jun 1, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 7, 2005 to Jul 17, 2007factForm ADV
→ NORTH POINT PORTFOLIO MANAGERS CORPORATIONRegistered adviserregistration: previous registration
Jun 17, 2004 to Jan 4, 2005factForm ADV

Dated events

No dated event names this entity yet.