TrueAdvisor
TrueAdvisor
CS
CS

Charles Smith

Ameriprise Financial Services, LLC
27 Years of Experience
Gilbert, AZ
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Charles Smith is a registered investment advisor at Ameriprise Financial Services, LLC, based in Gilbert, AZ, with 27 years of industry experience. Charles 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

161 E Rivulon Blvd Ste 108, Gilbert, AZ, 85297

Get directions

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
October 2025
Withdrawn
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Charles owns multiple real estate properties and is an independent insurance broker for several companies. He also has business ownership interests, works at Mesa Community College, is a Republican Precinct Committeeman, and introduces Deferred Sales Trust planning concepts to clients.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
October 2014 - Present · 12 yrs
Ameriprise Financial Services, LLC
October 2014 - Present · 12 yrs
Ameriprise Financial Services, LLCBroker
October 2014 - Present · 12 yrs
Previous Registrations
Academy Advisors, LLC
June 2008 - October 2014 · 6 yrs 4 mos
LPL Financial LLCBroker
October 2007 - October 2014 · 7 yrs
LPL Financial LLC
October 2007 - October 2014 · 7 yrs
1st Global Advisors INC
November 2004 - October 2007 · 2 yrs 11 mos
1st Global Capital CORP.Broker
October 2004 - October 2007 · 3 yrs
Mony Securities Corporation
December 2003 - November 2004 · 11 mos
Trusted Advisors
June 2003 - December 2003 · 6 mos
Trusted Securities Advisors CORP.Broker
September 2001 - December 2003 · 2 yrs 3 mos
Mony Securities CorporationBroker
June 1999 - November 2004 · 5 yrs 5 mos
State Registrations4 states
AZCATXUT
AdvisorBroker

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 Gilbert, AZ →All financial advisors in Arizona →