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CFP

Geri Pell

Ameriprise Financial Services, LLC
39 Years of Experience
Southport, CT
5 DisclosuresBroker
View SEC Summary
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Geri Pell is a CFP-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Southport, CT, with 39 years of industry experience. Geri 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
12908 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

2425 Post Rd Ste 207, Southport, CT, 06890

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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.
Customer Dispute
March 2014
Settled
Customer Dispute
January 2011
Settled
Customer Dispute
February 2010
Denied
Customer Dispute
February 2009
Denied
Customer Dispute
February 2004
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Geri has several business activities, including real estate ownership, business ownership in SABABA LLC and Geriwave LLC (used for expenses and salaries in her financial planning practice), and Gerispa LLC (rental real estate). She also co-owns RPWM Partners, LLC and Rise Tax Strategies, LLC, and serves on the board of directors for Pell in various roles.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
October 2010 - Present · 16 yrs
Ameriprise Financial Services, LLC
October 1986 - Present · 40 yrs
Ameriprise Financial Services, LLCBroker
October 1986 - Present · 40 yrs
State Registrations39 states
AZCACOCTDCDEFLGAHIIDILINKYLAMAMDMEMIMNMTNCNHNJNMNVNYOHORPAPRRISCSDTNTXVAVTWAWY
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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