TrueAdvisor
TrueAdvisor
LU
LU

Laurie Ufnowski

Ameriprise Financial Services, LLC
26 Years of Experience
Brookfield, WI
5 DisclosuresBroker
View SEC Summary
View SEC Summary

Laurie Ufnowski is a registered investment advisor at Ameriprise Financial Services, LLC, based in Brookfield, WI, with 26 years of industry experience. Laurie 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

300 N Corporate Dr Ste 100, Brookfield, WI, 53045

Get directions

History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
August 2021
Financial
June 2021
Final
Financial
April 2021
Final
Financial
January 2021
Final
Financial
September 2020
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Laurie serves on the board of directors for Ufnowski since February 2021. This activity is not investment-related and requires minimal time.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
September 2021 - Present · 5 yrs 1 mo
Ameriprise Financial Services, LLC
September 2021 - Present · 5 yrs 1 mo
Ameriprise Financial Services, LLCBroker
September 2021 - Present · 5 yrs 1 mo
Previous Registrations
Ameriprise Financial Services, LLC
September 2021 - September 2021 · 0 mos
Morgan Stanley
June 2017 - September 2021 · 4 yrs 3 mos
Morgan StanleyBroker
June 2017 - September 2021 · 4 yrs 3 mos
UBS Financial Services INC.
October 2003 - July 2017 · 13 yrs 9 mos
UBS Financial Services INC.Broker
March 2000 - July 2017 · 17 yrs 4 mos
State Registrations19 states
ALAZCACOFLGAILINMENCNVNYPASCTNTXUTVAWI
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.
More Advisors
More financial advisors in Brookfield, WI →All financial advisors in Wisconsin →