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Carl Davis

Ameriprise Financial Services, LLC
49 Years of Experience
El Segundo, CA
2 DisclosuresBroker
View SEC Summary
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Carl Davis is a registered investment advisor at Ameriprise Financial Services, LLC, based in El Segundo, CA, with 49 years of industry experience. Carl 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

2301 Rosecrans Ave, Ste 4195, El Segundo, CA, 90245

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History

Regulatory History (2)
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
February 2001
Settled
Customer Dispute
November 1997
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Carl is a board member and member of the ethics committee for Davis, and also treasurer for Davis. He also engages in fiduciary activities, such as acting as attorney-in-fact or trustee.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
April 2011 - Present · 15 yrs 6 mos
Ameriprise Financial Services, LLC
April 2011 - Present · 15 yrs 6 mos
Ameriprise Financial Services, LLCBroker
April 2011 - Present · 15 yrs 6 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - May 2011 · 1 yr 11 mos
Morgan Stanley Smith Barney LLC
June 2009 - May 2011 · 1 yr 11 mos
Citigroup Global Markets INC.
April 2005 - June 2009 · 4 yrs 2 mos
Citigroup Global Markets INC.Broker
April 2005 - June 2009 · 4 yrs 2 mos
Wachovia Securities, LLC
July 2003 - April 2005 · 1 yr 9 mos
Wachovia Securities, LLCBroker
July 2003 - April 2005 · 1 yr 9 mos
Prudential Securities Incorporated
October 1996 - July 2003 · 6 yrs 9 mos
Prudential Securities IncorporatedBroker
February 1993 - July 2003 · 10 yrs 5 mos
Dean Witter Reynolds INC.Broker
June 1989 - February 1993 · 3 yrs 8 mos
Shearson Lehman Hutton INC.Broker
April 1988 - July 1989 · 1 yr 3 mos
E. F. Hutton & Company INCBroker
December 1976 - April 1988 · 11 yrs 4 mos
State Registrations15 states
ALAZCAFLGAIDMAMDMINMNVOKTXUTWA
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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Carl Davis - Financial Advisor | TrueAdvisor