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Thomas Taylor

Ameriprise Financial Services, LLC
31 Years of Experience
Cincinnati, OH
2 DisclosuresBroker
View SEC Summary
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Thomas Taylor is a registered investment advisor at Ameriprise Financial Services, LLC, based in Cincinnati, OH, with 31 years of industry experience. Thomas 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

9749 Montgomery Rd, Cincinnati, OH, 45242-7207

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History

Regulatory History (2)
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
October 2019
Closed-No Action
Employment Separation After Allegations
September 2007
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Thomas is employed by Heritage Bank since 2020. This activity is investment-related and takes about a quarter of his time.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
July 2020 - Present · 6 yrs 3 mos
Ameriprise Financial Services, LLC
July 2020 - Present · 6 yrs 3 mos
Ameriprise Financial Services, LLCBroker
July 2020 - Present · 6 yrs 3 mos
Previous Registrations
PNC InvestmentsBroker
November 2007 - July 2020 · 12 yrs 8 mos
PNC Investments
November 2007 - July 2020 · 12 yrs 8 mos
Fifth Third Securities, INC.
November 2004 - September 2007 · 2 yrs 10 mos
Fifth Third Securities, INC.Broker
June 2003 - September 2007 · 4 yrs 3 mos
Banc One Securities Corporation
March 2003 - April 2003 · 1 mo
Banc One Securities CorporationBroker
June 2001 - April 2003 · 1 yr 10 mos
Fsc Securities CorporationBroker
June 1997 - May 2001 · 3 yrs 11 mos
Fidelity Brokerage Services, INC.Broker
September 1996 - May 1997 · 8 mos
Sunamerica Securities, INC.Broker
February 1995 - September 1996 · 1 yr 7 mos
Chatfield Dean & CO., INC.Broker
July 1993 - October 1993 · 3 mos
State Registrations7 states
FLILINKYOHPATX
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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