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David Fishman

Ameriprise Financial Services, LLC
28 Years of Experience
Los Angeles, CA
1 DisclosureBroker
View SEC Summary
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David Fishman is a registered investment advisor at Ameriprise Financial Services, LLC, based in Los Angeles, CA, with 28 years of industry experience. David 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

2029 Century Park E Ste 2550, Los Angeles, CA, 90067

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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
September 2013
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ameriprise Financial Services, LLCBroker
February 2021 - Present · 5 yrs 8 mos
Ameriprise Financial Services, LLC
February 2021 - Present · 5 yrs 8 mos
Ameriprise Financial Services, LLC
February 2021 - Present · 5 yrs 8 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
January 2011 - March 2021 · 10 yrs 2 mos
Wells Fargo Clearing Services, LLCBroker
January 2011 - March 2021 · 10 yrs 2 mos
Wells Fargo Investments, LLC
April 2010 - January 2011 · 9 mos
Wells Fargo Investments, LLCBroker
April 2010 - January 2011 · 9 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - April 2010 · 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - April 2010 · 6 mos
Banc of America Investment Services, INC.Broker
February 2003 - October 2009 · 6 yrs 8 mos
Banc of America Investment Services, INC.
February 2003 - October 2009 · 6 yrs 8 mos
Prudential Securities Incorporated
April 1999 - February 2003 · 3 yrs 10 mos
Prudential Securities IncorporatedBroker
October 1998 - February 2003 · 4 yrs 4 mos
State Registrations15 states
ALAZCACOCTIAMANCNJNVOHORTNUTWA
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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