Thomas North
Thomas North is a registered investment advisor at Ameriprise Financial Services, LLC, based in Monterey, CA, with 45 years of industry experience. Thomas 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
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
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.
Location
1 Lower Ragsdale Dr, Bldg 1 Ste 100, Monterey, CA, 93940
Get directionsHistory
Regulatory History (3)
Customer Dispute
June 2018Customer Dispute
October 2013Customer Dispute
September 2004Other Business Activities
Thomas owns a single-family real estate property since 2015. He also owns True North Productions, LLC, a publishing company established in 2011 to market his book, dedicating a few hours per week to this business.
Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations14 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.