David Nichols
David Nichols is a registered investment advisor at Ameriprise Financial Services, LLC, based in Raleigh, NC, with 49 years of industry experience. David 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
3600 Glenwood Ave, Ste 130, Raleigh, NC, 27612
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Learn about disclosures →Other Business Activities
David owns multiple lots/land real estate properties in Tennessee and North Carolina since 2006. This activity is not investment-related.
Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Previous Registrations
Morgan Stanley Smith BarneyBroker
Morgan Stanley Smith Barney LLC
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
The Robinson-Humphrey Company, LLCBroker
Shearson Lehman Hutton INC.Broker
E. F. Hutton & Company INCBroker
Smith Barney, Harris Upham & CO., IncorporatedBroker
State Registrations12 states
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