Stephen PezzulloCRD Number: 3177799
Current Firm: Ameriprise Financial Services, Inc.
Stephen Pezzullo (CRD# 3177799) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Susanville, CA and has over 16 years of experience in the finance industry.
Securities America Advisors, Inc.
U.s. Bancorp Investments, Inc.
|Ameriprise Financial Services||Campbell, CA||Mar 2013 - Current||3|
|1st Global Advisors, Inc.||Susanville, CA||Oct 2006 - Current||10|
|Pezzullo & Gussett, Cpa's||Susanville, CA||Jan 2005 - Current||11|
|1st Global Insurance Services, Inc.||Susanville , CA||Mar 2004 - Current||12|
|1st Global Capital Corp.||Susanville, CA||Nov 2003 - Current||13|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Dec 1999|
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:
- Criminal Record
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