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Arnold Blumenfeld

46 Years of Experience
Westport, CT
1 DisclosureBroker

Arnold Blumenfeld is a registered investment advisor at Ameriprise Financial Services, LLC, based in Westport, CT, with 46 years of industry experience. Arnold operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,330,280 clients with $560B in assets under management.

Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12781 advisors
Number of Clients
1,330,280 clients
Average Client Portfolio
$424K average
Assets Under Management
$564.6B

Fee Structure

Minimum Investment:$2K

Ameriprise Financial Services offers several managed account programs. The fees vary depending on the program selected. These fees include an asset-based fee, which covers investment advisory services and investment management fees. Some accounts may also have an Investments and Infrastructure Support Fee. Clients also pay investment costs, which are the underlying fees related to investment products purchased within the managed account. Additional fees and expenses may be incurred based on the nature of the investments.

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Location

10 Wright St, Fl 1st, Westport, CT, 06880-3115

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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
March 2008
Settled
Employment History
Current Registrations
Ameriprise Financial Services, LLC
November 2017 - Present · 8 yrs 6 mos
Ameriprise Financial Services, LLCBroker
November 2017 - Present · 8 yrs 6 mos
Ameriprise Financial Services, LLC
November 2017 - Present · 8 yrs 6 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
July 2009 - November 2017 · 8 yrs 4 mos
Wells Fargo Clearing Services, LLC
July 2009 - November 2017 · 8 yrs 4 mos
Morgan Stanley Smith BarneyBroker
June 2009 - August 2009 · 2 mos
Morgan Stanley Smith Barney LLC
June 2009 - August 2009 · 2 mos
Citigroup Global Markets INC.
October 2005 - June 2009 · 3 yrs 8 mos
Citigroup Global Markets INC.Broker
March 2001 - June 2009 · 8 yrs 3 mos
First Union Securities, INC.Broker
October 1999 - March 2001 · 1 yr 5 mos
First Union Capital Markets CORP.Broker
August 1995 - October 1999 · 4 yrs 2 mos
Gruntal & CO. IncorporatedBroker
October 1985 - August 1995 · 9 yrs 10 mos
Jii Securities INC.Broker
April 1985 - October 1985 · 6 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
May 1981 - January 1985 · 3 yrs 8 mos
Thomson Mckinnon Securities INC.Broker
April 1980 - August 1981 · 1 yr 4 mos
J. B. Hanauer & CO.Broker
July 1979 - March 1980 · 8 mos
State Registrations15 states
CACOCTFLLAMDNCNJNYOHPARISCVTWA
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.