DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

John Joseph Cortale

Ameriprise Financial Services, LLCnational BDBethesda, Md dual registrantIAPD 4407350

Feed of 09/15/2026

At current firm

2 y

since May 15, 2024

In the industry

25 y

since Aug 25, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Ameriprise Financial Services, LLC national BD current
since May 15, 2024 · Bethesda, Md
LPL Financial LLC BD affiliated
Jul 31, 2015 to May 20, 2024 · Washington, Dc
Jhs Capital Advisors, LLC former
Sep 13, 2011 to Aug 3, 2015 · Tampa, Fl
Aviso Wealth Management independent RIA
Mar 9, 2010 to Sep 9, 2011 · Washington, Dc
Gunnallen Financial, Inc unclassified
Aug 25, 2009 to Mar 11, 2010 · Washington Dc, Dc
Morgan Stanley wirehouse
Jun 1, 2009 to Aug 11, 2009 · Washington, Dc
Morgan Stanley & Co. LLC unclassified
Apr 2, 2007 to Jun 1, 2009 · Washington, Dc
Morgan Stanley Dw Inc. unclassified
Jun 17, 2005 to Apr 2, 2007 · Washington, Dc
UBS Financial Services Inc. wirehouse
Nov 15, 2001 to Jul 8, 2005 · Bethesda, Md

Moves

a registration end followed by a registration begin elsewhere

LPL Financial LLC to Ameriprise Financial Services, LLC
left May 20, 2024, registered May 15, 2024 (-5 days) · Affiliated broker-dealer or bank to another
Jhs Capital Advisors, LLC to LPL Financial LLC
left Aug 3, 2015, registered Jul 31, 2015 (-3 days) · Other
Aviso Wealth Management to Jhs Capital Advisors, LLC
left Sep 9, 2011, registered Sep 13, 2011 (4 days) · Other
Gunnallen Financial, Inc to Aviso Wealth Management
left Mar 11, 2010, registered Mar 9, 2010 (-2 days) · Other
Morgan Stanley to Gunnallen Financial, Inc
left Aug 11, 2009, registered Aug 25, 2009 (14 days) · Other
Morgan Stanley & Co. LLC to Morgan Stanley
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLC
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
UBS Financial Services Inc. to Morgan Stanley Dw Inc.
left Jul 8, 2005, registered Jun 17, 2005 (-21 days) · Other

Signals

John Joseph Cortale left Lpl Financial Llc for Ameriprise Financial Services, Llc (registered 2024-05-15)
May 20, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address