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CFP
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CFP

Vinod Gupta

Ameriprise Financial Services, LLC
20 Years of Experience
Duluth, MN
Broker
View SEC Summary
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Vinod Gupta is a CFP-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Duluth, MN, with 20 years of industry experience. Vinod 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
—
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Location

230 W Superior St, Ste 436, Duluth, MN, 55802

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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

Vinod has outside employment in community education and public speaking since 2016 and 2017, respectively. These activities take minimal time and about 10-20% of his time, respectively.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
June 2009 - Present · 17 yrs 4 mos
Ameriprise Financial Services, LLC
June 2009 - Present · 17 yrs 4 mos
Ameriprise Financial Services, LLCBroker
June 2009 - Present · 17 yrs 4 mos
Previous Registrations
UBS Financial Services INC.
August 2008 - May 2009 · 9 mos
UBS Financial Services INC.Broker
December 2005 - May 2009 · 3 yrs 5 mos
Waddell & Reed, INC.Broker
November 2005 - December 2005 · 1 mo
State Registrations8 states
AZCAFLMEMIMNTXWI
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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