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Thomas North

Ameriprise Financial Services, LLC
45 Years of Experience
Monterey, CA
3 DisclosuresBroker
View SEC Summary
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Thomas North is a registered investment advisor at Ameriprise Financial Services, LLC, based in Monterey, CA, with 45 years of industry experience. Thomas 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

1 Lower Ragsdale Dr, Bldg 1 Ste 100, Monterey, CA, 93940

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History

Regulatory History (3)
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
June 2018
Final
Customer Dispute
October 2013
Denied
Customer Dispute
September 2004
Denied
View Full SEC ReportHow to Read Disclosures
Other 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
September 2023 - Present · 3 yrs 1 mo
Ameriprise Financial Services, LLCBroker
September 2023 - Present · 3 yrs 1 mo
Ameriprise Financial Services, LLC
September 2023 - Present · 3 yrs 1 mo
Previous Registrations
Wells Fargo Clearing Services, LLC
June 2012 - September 2023 · 11 yrs 3 mos
Wells Fargo Clearing Services, LLCBroker
June 2012 - September 2023 · 11 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2005 - July 2012 · 6 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2005 - July 2012 · 6 yrs 9 mos
Morgan Stanley
December 1997 - October 2005 · 7 yrs 10 mos
Morgan Stanley Dw INC.Broker
October 1980 - October 2005 · 25 yrs
State Registrations14 states
AZCADCFLHIMAMTNVNYOKORPAVAWV
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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