Erik Simmons
Erik Simmons is a registered investment advisor at Ameriprise Financial Services, LLC, based in Carlsbad, CA, with 30 years of industry experience. Erik 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
2131 Palomar Airport RD Ste 203, Carlsbad, CA, 92011
Get directionsHistory
Regulatory History (7)
Judgment / Lien
March 2019Judgment / Lien
December 2018Judgment / Lien
December 2015Judgment / Lien
November 2011Customer Dispute
January 2009Customer Dispute
October 2007Customer Dispute
May 1999Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Previous Registrations
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Axxcess Wealth Management, LLC
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State Registrations6 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.