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Marcy Smith

Ameriprise Financial Services, LLC
25 Years of Experience
Colchester, VT
Broker
View SEC Summary
View SEC Summary

Marcy Smith is a registered investment advisor at Ameriprise Financial Services, LLC, based in Colchester, VT, with 25 years of industry experience. Marcy 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
12908 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

905 Roosevelt Hwy, Ste 220, Colchester, VT, 05446

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Marcy is involved with R&D Holdings LLC since September 2022, dedicating 60 hours per month. She also works with Color Street LLC since February 2021, spending minimal time on this activity.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
September 2022 - Present · 4 yrs 1 mo
Ameriprise Financial Services, LLC
September 2022 - Present · 4 yrs 1 mo
Ameriprise Financial Services, LLCBroker
September 2022 - Present · 4 yrs 1 mo
Previous Registrations
People's United Advisors, INC.
July 2020 - April 2022 · 1 yr 9 mos
People's Securities, INC.Broker
October 2009 - April 2022 · 12 yrs 6 mos
People's Securities, INC.
October 2009 - March 2020 · 10 yrs 5 mos
Chittenden Securities
September 2008 - November 2009 · 1 yr 2 mos
Chittenden Securities, LLC.Broker
January 2003 - October 2009 · 6 yrs 9 mos
Mcdonald Investments INC.Broker
March 2002 - January 2003 · 10 mos
Chittenden Securities, INC.Broker
December 2000 - February 2002 · 1 yr 2 mos
State Registrations28 states
AZCACOCTDEFLGAMAMDMEMNMTNCNENHNMNYOHPAPRSCTNTXUTVAVTWAWV
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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