Thomas Moss
Thomas Moss is a registered investment advisor at Ameriprise Financial Services, LLC, based in Charlotte, NC, with 48 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
14120 Ballantyne Corporate Pl, Ste 325, Charlotte, NC, 28277
Get directionsHistory
Regulatory History (6)
Customer Dispute
January 1998Customer Dispute
August 1997Customer Dispute
May 1996Customer Dispute
August 1995Employment Separation After Allegations
May 1995Customer Dispute
January 1988Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Previous Registrations
Ameriprise Financial Services, INC.
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State Registrations7 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.