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Dana Wales

Ameriprise Financial Services, LLC
39 Years of Experience
St. Joseph, MI
BrokerSells Insurance
View SEC Summary
View SEC Summary

Dana Wales is a CFP-designated registered investment advisor at Ameriprise Financial Services, LLC, based in St. Joseph, MI, with 39 years of industry experience. Dana 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

505 Pleasant St, Ste 200, St. Joseph, MI, 49085

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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 ActivitiesSells Insurance

Dana is an independent insurance broker with Blue Cross / Blue Shield of Michigan and Midland National Life Insurance Company, and owns part of a corporation that owns and operates the building where Wales Wealth Management Group's office is located. Dana also owns residential rental real estate and serves as a trustee/director for Wales.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
November 2008 - Present · 17 yrs 11 mos
Ameriprise Financial Services, LLCBroker
April 1987 - Present · 39 yrs 6 mos
Previous Registrations
Securities America, INC.Broker
February 2010 - November 2010 · 9 mos
Ids Life Insurance CompanyBroker
August 1999 - July 2006 · 6 yrs 11 mos
State Registrations33 states
AZCACODCDEFLGAIAILINKYLAMAMIMNMSMTNCNJNMNYOHORPASCTNTXVAVTWAWIWVWY
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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