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CFP
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CFP

Susan Dowling

Ameriprise Financial Services, LLC
44 Years of Experience
Old Saybrook, CT
Broker
View SEC Summary
View SEC Summary

Susan Dowling is a CFP-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Old Saybrook, CT, with 44 years of industry experience. Susan is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12955 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

205 Old Boston Post Rd, Old Saybrook, CT, 06475

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Susan is a board member at Dowling since June 2020. This activity requires minimal time and does not occur during trading hours.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
May 2024 - Present · 2 yrs 5 mos
Ameriprise Financial Services, LLC
May 2024 - Present · 2 yrs 5 mos
Ameriprise Financial Services, LLCBroker
May 2024 - Present · 2 yrs 5 mos
Previous Registrations
UBS Financial Services INC.
September 1991 - June 2024 · 32 yrs 9 mos
UBS Financial Services INC.Broker
September 1983 - June 2024 · 40 yrs 9 mos
E. F. Hutton & Company INCBroker
March 1982 - October 1983 · 1 yr 7 mos
State Registrations22 states
AKAZCOCTFLGAILMAMDMEMINCNHNYOHPARISCTXVAWAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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