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Thomas Darden

Ameriprise Financial Services, LLC
25 Years of Experience
Boca Raton, FL
1 DisclosureBroker
View SEC Summary
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Thomas Darden is a registered investment advisor at Ameriprise Financial Services, LLC, based in Boca Raton, FL, with 25 years of industry experience. Thomas 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

5200 Town Center Cir Ste 600, Boca Raton, FL, 33486-1045

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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
February 2012
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ameriprise Financial Services, LLCBroker
September 2022 - Present · 4 yrs 1 mo
Ameriprise Financial Services, LLC
September 2022 - Present · 4 yrs 1 mo
Ameriprise Financial Services, LLC
September 2022 - Present · 4 yrs 1 mo
Previous Registrations
Wells Fargo Clearing Services, LLC
December 2013 - September 2022 · 8 yrs 9 mos
Wells Fargo Clearing Services, LLCBroker
December 2013 - September 2022 · 8 yrs 9 mos
Hsbc Securities (USA) INC.
April 2008 - January 2014 · 5 yrs 9 mos
Hsbc Securities (USA) INC.Broker
January 2005 - January 2014 · 9 yrs
Hsbc Brokerage (USA) INC.Broker
March 2003 - January 2005 · 1 yr 10 mos
Citicorp Investment ServicesBroker
May 2002 - February 2003 · 9 mos
Ids Life Insurance CompanyBroker
July 2001 - May 2002 · 10 mos
American Express Financial Advisors INC.Broker
July 2001 - May 2002 · 10 mos
Ids Life Insurance CompanyBroker
August 2000 - January 2001 · 5 mos
American Express Financial Advisors INC.Broker
August 2000 - January 2001 · 5 mos
State Registrations14 states
AZCAFLGAMANCNJNVNYOHPAPRSCTX
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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