Shivam Mittal
Shivam Mittal is a registered investment advisor at Ameriprise Financial Services, LLC, based in Summit, NJ, with 8 years of industry experience. Shivam 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
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
Location
129 Summit Ave Fl 2nd, Summit, NJ, 07901
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
July 2021Other Business Activities
Shivam oversees SM Exports LLC, an e-commerce/retail sales business, dedicating minimal time. He also manages his Ameriprise business through Shivam Mittal Holdings LLC, spending about a quarter of his time, with some hours during trading hours.
Employment History
Current Registrations
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
Previous Registrations
Equitable Advisors, LLC
Equitable Advisors, LLCBroker
State Registrations25 states
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
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