Thomas DotzenrodCRD Number: 1143664
Current Firm: Ameriprise Financial Services, Inc.
Thomas Dotzenrod (CRD# 1143664) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Edina, MN and has over 31 years of experience in the finance industry. Thomas Dotzenrod has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Brown Wealth Management, LLC
Phillip James Financial Company
Allodium Investment Consultants, LLC
|Ameriprise Financial Services Inc.||Edina, MN||Oct 2010 - Current||7|
|Genworth Financial Advisers Corporation||Schaumburg, IL||Jan 2005 - Oct 2010||5|
|Genworth Financial Securities Corporation||Schaumburg, IL||Jan 2004 - Oct 2010||6|
|Various Insurance Carriers||Chanhassen, MN||Jul 2001 - Oct 2010||9|
|Dotzenrod, Inc.||New Hope, MN||Jan 1988 - Oct 2010||22|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1987|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management178,060MILLIONS
Total Number of Accounts1,085,445ACCOUNTS
Average Account Value$164,044
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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