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Tracey Smith

Ameriprise Financial Services, LLC
30 Years of Experience
Mt Lebanon, PA
1 DisclosureBroker
View SEC Summary
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Tracey Smith is a registered investment advisor at Ameriprise Financial Services, LLC, based in Mt Lebanon, PA, with 30 years of industry experience. Tracey 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

1 Altoona Pl, Carriage House 1st Floor, Mt Lebanon, PA, 15228-1265

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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
October 2024
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Tracey owns single-family real estate properties in Florida and Pennsylvania. She also has another business ownership activity, dedicating minimal time to it.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
December 2003 - Present · 22 yrs 10 mos
Ameriprise Financial Services, LLCBroker
October 1995 - Present · 31 yrs
Ameriprise Financial Services, LLC
October 1995 - Present · 31 yrs
Previous Registrations
Ids Life Insurance CompanyBroker
October 1995 - July 2006 · 10 yrs 9 mos
State Registrations13 states
ARAZFLKYMAMDNCNMNYOHPASCVA
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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