Erika WachholzCRD Number: 3057488
Current Firm: Ameriprise Financial Services, Inc.
Erika Wachholz (CRD# 3057488) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Storm Lake, IA and has over 15 years of experience in the finance industry.
Ameriprise Financial Services, Inc.
Northwestern Mutual Investment Services,llc
Hilltop Securities Independent Network Inc.
|Ameriprise Financial Services, Inc.||Storm Lake, IA||May 2010 - Current||7|
|Seligman Advisors, Inc.||Minneapolis, MN||Jan 2009 - May 2010||1|
|Riversource Distributors, Inc.||Minneapolis, MN||Oct 2008 - May 2010||1|
|American Express Financial Advisors Inc.||Minneapolis, MN||Oct 2003 - Jul 2008||4|
|Ids Life Insurance Company||Minneapolis, MN||Oct 2003 - Jul 2008||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 2001|
|S66||NASAA Uniform Combined State Law Examination||Aug 2012|
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
- Judgments / Liens
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