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Andrew Smith

Ameriprise Financial Services, LLC
20 Years of Experience
Dubuque, IA
1 DisclosureBroker
View SEC Summary
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Andrew Smith is a registered investment advisor at Ameriprise Financial Services, LLC, based in Dubuque, IA, with 20 years of industry experience. Andrew 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

5900 Saratoga Rd Ste 7, Dubuque, IA, 52002

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History

Regulatory History (1)
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Criminal
March 1980
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ameriprise Financial Services, LLC
August 2026 - Present · 2 mos
Ameriprise Financial Services, LLCBroker
August 2026 - Present · 2 mos
Previous Registrations
Ameriprise Financial Services, LLC
October 2012 - August 2026 · 13 yrs 10 mos
Ameriprise Financial Services, LLCBroker
February 2006 - August 2026 · 20 yrs 6 mos
Ameriprise Financial Services, INC.
August 2005 - November 2005 · 3 mos
Ameriprise Financial Services, INC.Broker
July 2005 - November 2005 · 4 mos
Ids Life Insurance CompanyBroker
July 2005 - November 2005 · 4 mos
State Registrations12 states
CACOFLIAILKSMNNEOHTXUTWI
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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Andrew Smith - Financial Advisor | TrueAdvisor