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Aaron Swartz

Ameriprise Financial Services, LLC
23 Years of Experience
New Brighton, MN
Broker
View SEC Summary
View SEC Summary

Aaron Swartz is a registered investment advisor at Ameriprise Financial Services, LLC, based in New Brighton, MN, with 23 years of industry experience. Aaron 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
12908 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

550 Main St, Ste 210, New Brighton, MN, 55112-3271

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Aaron owns real estate and is involved in outside employment with Dan Bartel and GEM Enterprises. His work with Dan Bartel and GEM Enterprises is investment-related, taking up 10-19 and 60 hours per month, respectively.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
January 2014 - Present · 12 yrs 9 mos
Ameriprise Financial Services, LLC
November 2002 - Present · 23 yrs 11 mos
Ameriprise Financial Services, LLCBroker
November 2002 - Present · 23 yrs 11 mos
Previous Registrations
Ids Life Insurance CompanyBroker
November 2002 - July 2006 · 3 yrs 8 mos
State Registrations9 states
AZFLGAMIMNNDORSDWI
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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