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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)17 years in industry

Joseph M Monteleone

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Summit, NJ | Chester, NJ

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Search this name across graphsid dfx:ria:69663292-bb9e-2e42-e70c-9b43e9b543a7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Mar 10, 2009 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 2, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Analyst
Exams: S66
First exam: Mar 2, 2009
First registration: Mar 10, 2009
Dual registered: yes, broker-dealer
Other names: JOSEPH MICHAEL MONTELEONE|Joseph Monteleone
IAPD individual key: 5286830

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	Nov 14, 2024	n/a	yes	Chester, NJ\|Summit, NJ	Current employment
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jun 24, 2024	Nov 7, 2024	no	Jamison, PA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jun 5, 2024	no	Morristown, NJ\|FLORHAM PARK, NJ	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Mar 10, 2009	Jun 1, 2009	no	FLORHAM PARK, NJ	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
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 7, 2024	Nov 14, 2024	7	Firm change	Other
MORGAN STANLEY	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Jun 5, 2024	Jun 24, 2024	19	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Jun 24, 2024 to Nov 7, 2024factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jun 5, 2024factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Mar 10, 2009 to Jun 1, 2009factForm ADV

Dated events

Occurred
Nov 7, 2024
Advisor changed firm
Joseph M Monteleone left Northwestern Mutual Investment Services,Llc for Ameriprise Financial Services, Llc (registered 2024-11-14)
Form ADVobserved 4 days ago
Occurred
Jun 5, 2024
Advisor changed firm
Joseph M Monteleone left Morgan Stanley for Northwestern Mutual Investment Services,Llc (registered 2024-06-24)
Form ADVobserved 4 days ago