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Nick Pietrocola

Ameriprise Financial Services, LLC
28 Years of Experience
Westlake, OH
4 DisclosuresBroker
View SEC Summary
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Nick Pietrocola is a registered investment advisor at Ameriprise Financial Services, LLC, based in Westlake, OH, with 28 years of industry experience. Nick 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

2035 Crocker Rd, Ste 201, Westlake, OH, 44145-2194

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History

Regulatory History (4)
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.
Regulatory
September 2014
Final
Regulatory
December 2013
Final
Employment Separation After Allegations
June 2012
Customer Dispute
November 2001
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Nick participates in surveys related to the financial services industry. This activity requires minimal time each month.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
July 2012 - Present · 14 yrs 3 mos
Ameriprise Financial Services, LLC
July 2012 - Present · 14 yrs 3 mos
Ameriprise Financial Services, LLCBroker
July 2012 - Present · 14 yrs 3 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - July 2012 · 3 yrs 1 mo
Morgan Stanley Smith Barney LLC
June 2009 - July 2012 · 3 yrs 1 mo
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
March 2001 - April 2007 · 6 yrs 1 mo
Morgan Stanley Dw INC.Broker
September 1998 - April 2007 · 8 yrs 7 mos
State Registrations16 states
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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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