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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

JOHN JOSEPH CORTALE

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Bethesda, MD | Washington, DC

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Search this name across graphsid dfx:ria:6ea21d6d-89ab-8bfa-20c9-01631449873a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Nov 15, 2001 to Sep 15, 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: Aug 25, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Aug 25, 2001
First registration: Nov 15, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 4407350

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	May 15, 2024	n/a	yes	Bethesda, MD\|Washington, DC	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 31, 2015	May 20, 2024	no	WASHINGTON, DC\|FORT MILL, SC\|WASHINGTON, DC\|RESTON, VA	Previous registration
JHS CAPITAL ADVISORS, LLC	Former SEC adviser	Sep 13, 2011	Aug 3, 2015	no	TAMPA, FL\|WASHINGTON, DC\|CALVERTON, MD\|TAMPA, FL\|SUMMIT, NJ\|Washington, DC	Previous registration
AVISO WEALTH MANAGEMENT	Independent wealth	Mar 9, 2010	Sep 9, 2011	no	WASHINGTON, DC	Previous registration
GUNNALLEN FINANCIAL, INC	n/a	Aug 25, 2009	Mar 11, 2010	no	WASHINGTON DC, DC\|SEATTLE, WA\|MCLEAN, VA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Aug 11, 2009	no	Washington, DC	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	WASHINGTON, DC	Previous registration
MORGAN STANLEY DW INC.	n/a	Jun 17, 2005	Apr 2, 2007	no	WASHINGTON, DC\|WASHINGTON, DC	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 15, 2001	Jul 8, 2005	no	BETHESDA, MD	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
LPL FINANCIAL LLC	AMERIPRISE FINANCIAL SERVICES, LLC	May 20, 2024	May 15, 2024	-5	Firm change	Ibd to ibd
JHS CAPITAL ADVISORS, LLC	LPL FINANCIAL LLC	Aug 3, 2015	Jul 31, 2015	-3	Firm change	Other
AVISO WEALTH MANAGEMENT	JHS CAPITAL ADVISORS, LLC	Sep 9, 2011	Sep 13, 2011	4	Firm change	Other
GUNNALLEN FINANCIAL, INC	AVISO WEALTH MANAGEMENT	Mar 11, 2010	Mar 9, 2010	-2	Firm change	Other
MORGAN STANLEY	GUNNALLEN FINANCIAL, INC	Aug 11, 2009	Aug 25, 2009	14	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY DW INC.	Jul 8, 2005	Jun 17, 2005	-21	Firm change	Other

Relationships

Registered with (9)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
May 15, 2024 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 31, 2015 to May 20, 2024factForm ADV
→ JHS CAPITAL ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 13, 2011 to Aug 3, 2015factForm ADV
→ AVISO WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Mar 9, 2010 to Sep 9, 2011factForm ADV
→ GUNNALLEN FINANCIAL, INCRegistered adviserregistration: previous registration
Aug 25, 2009 to Mar 11, 2010factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Aug 11, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jun 17, 2005 to Apr 2, 2007factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 15, 2001 to Jul 8, 2005factForm ADV

Dated events

Occurred
May 20, 2024
Advisor changed firm
John Joseph Cortale left Lpl Financial Llc for Ameriprise Financial Services, Llc (registered 2024-05-15)
Form ADVobserved 6 days ago