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William Martin

Ameriprise Financial Services, LLC
45 Years of Experience
Cranston, RI
4 DisclosuresBroker
View SEC Summary
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William Martin is a registered investment advisor at Ameriprise Financial Services, LLC, based in Cranston, RI, with 45 years of industry experience. William 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

888 Reservoir Ave, Cranston, RI, 02910

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History

Regulatory History (4)
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.
Employment Separation After Allegations
August 2011
Customer Dispute
November 2003
Settled
Customer Dispute
October 1995
Settled
Customer Dispute
March 1993
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ameriprise Financial Services, LLC
April 2019 - Present · 7 yrs 6 mos
Ameriprise Financial Services, LLC
April 2019 - Present · 7 yrs 6 mos
Ameriprise Financial Services, LLCBroker
April 2019 - Present · 7 yrs 6 mos
Previous Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
August 2011 - April 2019 · 7 yrs 8 mos
Stifel, Nicolaus & Company, Incorporated
August 2011 - April 2019 · 7 yrs 8 mos
Morgan Stanley Smith Barney LLC
June 2009 - September 2011 · 2 yrs 3 mos
Morgan Stanley Smith BarneyBroker
June 2009 - September 2011 · 2 yrs 3 mos
Citigroup Global Markets INC.
September 2000 - June 2009 · 8 yrs 9 mos
Citigroup Global Markets INC.Broker
September 1996 - June 2009 · 12 yrs 9 mos
Prudential Securities IncorporatedBroker
September 1990 - September 1996 · 6 yrs
Prudential Securities IncorporatedBroker
August 1990 - September 1996 · 6 yrs 1 mo
Lehman Brothers INC.Broker
May 1981 - September 1990 · 9 yrs 4 mos
State Registrations2 states
MARI
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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