Peter SmithCRD Number: 1016236
Current Firm: Ameriprise Financial Services, Inc.
Peter Smith (CRD# 1016236) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Tacoma, WA and has over 29 years of experience in the finance industry.
Byrne & Company Wealth Management, LLC
Northern Lights Advisors, Inc.
Kutscher Rhodes & Benner, Inc.
|Ameriprise Financial Services, Inc.||Tacoma, WA||Oct 2009 - Current||7|
|Ameriprise Advisor Services||Tacoma, WA||Apr 2009 - Current||7|
|Citigroup Global Markets Inc.||Tacoma, WA||Jul 1993 - Apr 2009||15|
|Kempf & Co||Tacoma, WA||Jun 1980 - Oct 2007||27|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1986|
|S65||NASAA Investment Advisors Law Examination||Jan 1993|
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:
- Employer Dispute
- Customer Dispute
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