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Shawn Smith

Ameriprise Financial Services, LLC
22 Years of Experience
Blue Bell, PA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Shawn Smith is a registered investment advisor at Ameriprise Financial Services, LLC, based in Blue Bell, PA, with 22 years of industry experience. Shawn 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

790 Penllyn Blue Bell Pike, Ste 300, Blue Bell, PA, 19422

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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 2004
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Shawn is an independent insurance broker for several health insurance companies. He also has business ownership and consulting activities, serves as a board member for Smith, and is involved with SCS Advisor Consulting, MCA Consulting, and Double K, LLC, dedicating minimal time to each of these roles.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
March 2019 - Present · 7 yrs 7 mos
Ameriprise Financial Services, LLCBroker
March 2019 - Present · 7 yrs 7 mos
Ameriprise Financial Services, LLC
March 2019 - Present · 7 yrs 7 mos
Previous Registrations
Park Avenue Securities LLCBroker
November 2012 - September 2017 · 4 yrs 10 mos
Park Avenue Securities LLC
November 2012 - September 2017 · 4 yrs 10 mos
Guardian Investor Services LLCBroker
October 2012 - November 2012 · 1 mo
Park Avenue Securities LLC
October 2009 - October 2012 · 3 yrs
Park Avenue Securities LLCBroker
October 2009 - October 2012 · 3 yrs
Lincoln Financial Distributors, INC.
August 2006 - May 2009 · 2 yrs 9 mos
Lincoln Financial Distributors, INC.Broker
August 2006 - May 2009 · 2 yrs 9 mos
Ameriprise Financial Services, INC.
October 2001 - January 2006 · 4 yrs 3 mos
Ameriprise Financial Services, INC.Broker
September 2001 - January 2006 · 4 yrs 4 mos
Ids Life Insurance CompanyBroker
September 2001 - January 2006 · 4 yrs 4 mos
State Registrations13 states
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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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