Joseph Mc DonoughCRD Number: 1016644
Current Firm: Ameriprise Financial Services, Inc.
Joseph Mc Donough (CRD# 1016644) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Kingston, PA and has over 33 years of experience in the finance industry.
Northeastern Financial Consultants, Inc.
Ameriprise Financial Services, Inc.
|Ameriprise Financial Services Inc.||Dallas, PA||Dec 2009 - Current||7|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Wilkes-barre, PA||Oct 2005 - Dec 2009||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1984|
|S65||NASAA Investment Advisors Law Examination||Jun 2007|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management178,060MILLIONS
Total Number of Accounts1,085,445ACCOUNTS
Average Account Value$164,044
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV