MH
MH

Michael Huffman

34 Years of Experience
Gilbert, AZ
1 DisclosureBroker

Michael Huffman is a registered investment advisor at Ameriprise Financial Services, LLC, based in Gilbert, AZ, with 34 years of industry experience. Michael operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,330,280 clients with $560B in assets under management.

Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12781 advisors
Number of Clients
1,330,280 clients
Average Client Portfolio
$424K average
Assets Under Management
$564.6B

Fee Structure

Minimum Investment:$2K

Ameriprise Financial Services offers several managed account programs. The fees vary depending on the program selected. These fees include an asset-based fee, which covers investment advisory services and investment management fees. Some accounts may also have an Investments and Infrastructure Support Fee. Clients also pay investment costs, which are the underlying fees related to investment products purchased within the managed account. Additional fees and expenses may be incurred based on the nature of the investments.

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Location

161 E Rivulon Blvd Ste 108, Gilbert, AZ, 85297

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History

Regulatory History (1)
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
April 2001
Denied
Employment History
Current Registrations
Ameriprise Financial Services, LLCBroker
October 2017 - Present · 8 yrs 7 mos
Ameriprise Financial Services, LLC
October 2017 - Present · 8 yrs 7 mos
Ameriprise Financial Services, LLC
October 2017 - Present · 8 yrs 7 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
June 2011 - October 2017 · 6 yrs 4 mos
Wells Fargo Clearing Services, LLCBroker
January 2011 - October 2017 · 6 yrs 9 mos
Wells Fargo Investments, LLCBroker
March 2008 - January 2011 · 2 yrs 10 mos
Wachovia Securities, LLCBroker
February 2008 - February 2008 · 0 mos
Wells Fargo Investments, LLCBroker
December 2000 - February 2008 · 7 yrs 2 mos
Wells Fargo Brokerage Services, L.L.C.Broker
July 1999 - December 2000 · 1 yr 5 mos
Wells Fargo Securities INC.Broker
June 1997 - May 2001 · 3 yrs 11 mos
Ba Investment Services, INC.Broker
February 1995 - June 1997 · 2 yrs 4 mos
Charles Schwab & CO., INC.Broker
October 1993 - February 1995 · 1 yr 4 mos
Nylife Securities INC.Broker
May 1992 - October 1993 · 1 yr 5 mos
Kober Financial CORP.Broker
September 1991 - December 1991 · 3 mos
State Registrations19 states
AKARAZCACODEFLGAINMENVNYOHOKORTXUTVAWA
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.
Michael Huffman - Financial Advisor | TrueAdvisor