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Carolyn Thur

Ameriprise Financial Services, LLC
46 Years of Experience
Chicago, IL
2 DisclosuresBroker
View SEC Summary
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Carolyn Thur is a registered investment advisor at Ameriprise Financial Services, LLC, based in Chicago, IL, with 46 years of industry experience. Carolyn 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

227 W Monroe St, Ste 3700, Chicago, IL, 60606-5067

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History

Regulatory History (2)
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
February 2016
Pending
Customer Dispute
May 2003
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ameriprise Financial Services, LLC
January 2016 - Present · 10 yrs 9 mos
Ameriprise Financial Services, LLC
January 2016 - Present · 10 yrs 9 mos
Ameriprise Financial Services, LLCBroker
January 2016 - Present · 10 yrs 9 mos
Previous Registrations
UBS Financial Services INC.
September 1997 - January 2016 · 18 yrs 4 mos
UBS Financial Services INC.Broker
December 1993 - January 2016 · 22 yrs 1 mo
Lehman Brothers INC.Broker
September 1981 - December 1993 · 12 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1980 - September 1981 · 1 yr 7 mos
State Registrations26 states
AZCACOFLGAHIILINKSKYMAMDMIMNMONCNJNYOHPATNTXUTVAWAWI
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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