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Joseph Gerdes

Chief Operations Officer/Principal Operating Officer at Ameriprise Financial Services

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
7
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Joseph Gerdes is Chief Operations Officer/Principal Operating Officer of Ameriprise Financial Services, LLC, a Minneapolis investment adviser managing $660B. Joseph Gerdes has a current broker registration and no current investment-adviser registration and has passed 7 licensing exams.

Role at Ameriprise Financial Services

Title on Schedule A
Chief Operations Officer/Principal Operating Officer
Control
Joseph Gerdes is a control person of Ameriprise Financial Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
Joseph Gerdes has held the filed role since April 2026.

The firm

Ameriprise Financial Services, LLC
Minneapolis, MN

Form ADV filed 25 September 2026

$660B AUM1,386,329 clients12,681 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 14 and Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 27 · 1999
  4. Passed Series 7, Series 63 and Series 24 · 1996

Registrations and exams

Broker registration; no current adviser registration. Joseph Gerdes has passed 7 qualifying exams.

Examinations

Series 631 July 1996
Name
Uniform Securities Agent State Law Examination
Series 142 January 2023
Name
Compliance Officer Examination
Series 2716 August 1999
Name
Financial and Operations Principal Examination
Series 242 December 1996
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 714 June 1996
Name
General Securities Representative Examination

Individual record

Full name
Joseph Francis Gerdes
CRD
2391989
Firm
Ameriprise Financial Services, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Joseph Gerdes work?

Joseph Gerdes has been Chief Operations Officer/Principal Operating Officer of Ameriprise Financial Services, LLC since April 2026, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 25 September 2026

Does Joseph Gerdes have a current investment-adviser registration?

Joseph Gerdes has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Joseph Gerdes passed?

Joseph Gerdes has passed 7 licensing exams: the Series 7, Series 63, Series 24, Series 27, SIE, Series 14 and Series 99TO. The earliest, the Series 7, was passed in June 1996.

Source: IAPD individual record, checked 17 October 2026

Leadership at Ameriprise Financial Services

Sources

  1. IAPD individual record, CRD 2391989. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Ameriprise Financial Services, LLC, filed 25 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Joseph Gerdes or Ameriprise Financial Services, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.