Howard Swanfeldt
Howard Swanfeldt is a registered investment advisor at Ameriprise Financial Services, LLC, based in Dallas, TX, with 32 years of industry experience. Howard 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
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
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.
Location
8850 Boedeker Dr, Dallas, TX, 75225
Get directionsHistory
Regulatory History (1)
Customer Dispute
May 2002Other Business Activities
Howard works at Comerica Bank in two roles: one coordinating with banking centers and money market products as a Financial Advisor, and another unspecified role. Both roles started in November 2023 and each take about 10-20% of Howard's time.
Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
Previous Registrations
Comerica Securities
Comerica SecuritiesBroker
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Banc One Securities Corporation
Banc One Securities CorporationBroker
NationssecuritiesBroker
State Registrations18 states
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.