TrueAdvisor
TrueAdvisor
PW
PW

Phillip Williams

Ameriprise Financial Services, LLC
29 Years of Experience
Tucson, AZ
3 DisclosuresBroker
View SEC Summary
View SEC Summary

Phillip Williams is a registered investment advisor at Ameriprise Financial Services, LLC, based in Tucson, AZ, with 29 years of industry experience. Phillip 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

268 E River Rd, Ste 100, Tucson, AZ, 85704-5842

Get directions

History

Regulatory History (3)
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 2006
Settled
Customer Dispute
March 2003
Denied
Criminal
December 1990
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Phillip creates handmade leather goods and provides pens, multitools, flashlights, and pocketknives through Phil Williams Leather and EDC Gear. This activity takes minimal time and is not investment-related.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
April 2002 - Present · 24 yrs 6 mos
Ameriprise Financial Services, LLC
March 2002 - Present · 24 yrs 7 mos
Ameriprise Financial Services, LLCBroker
March 2002 - Present · 24 yrs 7 mos
Previous Registrations
Ids Life Insurance CompanyBroker
March 2002 - July 2006 · 4 yrs 4 mos
Washington Square Securities, INC.Broker
June 2000 - November 2001 · 1 yr 5 mos
Wma Securities, INC.Broker
January 1997 - June 2000 · 3 yrs 5 mos
State Registrations15 states
AZCAFLGAMINCNENVNYORPARITXUTVA
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.
More Advisors
More financial advisors in Tucson, AZ →All financial advisors in Arizona →