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Brian Conlon

Ameriprise Financial Services, LLC
24 Years of Experience
New York, NY
1 DisclosureBroker
View SEC Summary
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Brian Conlon is a registered investment advisor at Ameriprise Financial Services, LLC, based in New York, NY, with 24 years of industry experience. Brian 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

122 E 42nd St, Ste 2215, New York, NY, 10168

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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
December 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Brian is involved with Certainty of the Uncertainty, LLC, dedicating about 10-20% of his time, including time during trading hours. The activity is investment-related.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
December 2018 - Present · 7 yrs 10 mos
Ameriprise Financial Services, LLC
December 2018 - Present · 7 yrs 10 mos
Ameriprise Financial Services, LLCBroker
December 2018 - Present · 7 yrs 10 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
June 2013 - December 2018 · 5 yrs 6 mos
Wells Fargo Clearing Services, LLCBroker
May 2012 - December 2018 · 6 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2006 - May 2012 · 6 yrs 2 mos
Advest, INC.Broker
June 2002 - March 2006 · 3 yrs 9 mos
Lebenthal & CO., INC.Broker
May 2002 - June 2002 · 1 mo
State Registrations23 states
AZCACTDEFLINKYMAMDMEMIMONCNHNJNYPARISCTNTXVAVT
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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