Larry Swanson
Larry Swanson is a registered investment advisor at Ameriprise Financial Services, LLC, based in Stockton, CA, with 47 years of industry experience. Larry 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
2087 Grand Canal Blvd, Ste 2, 3 & 4, Stockton, CA, 95207
Get directionsHistory
Regulatory History (7)
Financial
June 2019Financial
June 2018Financial
November 2017Judgment / Lien
June 2017Judgment / Lien
March 2012Judgment / Lien
November 2010Judgment / Lien
August 2008Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Previous Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
A. G. Edwards & Sons, INC.Broker
Smith Barney, Harris Upham & CO., IncorporatedBroker
State Registrations6 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.