Todd R. Smith

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CRD#: 1371446

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Todd Russell Smith was a registered financial professional .

Todd is a previously registered financial professional and started their career in finance in 1985. Todd had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

What are your service offerings?

Wealth Preservation Strategies

Investments

Retirement Planning Strategies

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Real Estate Ownership; This is a Limited Partnership not publically traded in wich I inherited a 50% interest with my brother, Bernard A. Smith IV. The perpetual partnership is called SB Partners and administered by Sentinel Partners of NYC, N.Y./ This is a passive L.P. and the General Partner discloses where the entity has chosen to invest. Fiduciary Activities; Named or act in a fiduciary capacity; such as attorney-in-fact, trustee, conservator, guardian, executor or personal representative.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 2, 2020 - October 8, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

TUCSON, AZ

Past

August 11, 2016 - December 31, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

TUCSON, AZ

Past

October 5, 2009 - December 31, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

TUCSON, AZ

Past

October 5, 2009 - October 7, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

TUCSON, AZ

Past

September 15, 2005 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

TUCSON, AZ

Past

August 17, 2005 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

TUCSON, AZ

Past

March 13, 2002 - August 29, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

TUCSON, AZ

Past

July 24, 1998 - August 29, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 31, 1988 - July 28, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

June 11, 1985 - November 9, 1988

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363 / SEC#: 801-28543, 8-16791

RIA

Registered Investment Advisory firm - SEC (12/5/1986 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/14/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/28/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/24/1995

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/18/1985

General Securities Representative Examination

Current Firm

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363 / SEC#: 801-28543, 8-16791

RIA

Registered Investment Advisory firm - SEC (12/5/1986 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

9013rd Avenue South, Minneapolis, MN 55402

Mailing Address

5221 Ameriprise Financial Center, Minneapolis, MN 55474

Phone number

(612) 671-3131

Established

Delaware since 06/14/1971

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

14,000

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

AMERIPRISE MANAGED ACCOUNTS (9/26/2025)

AMERIPRISE MANAGED ACCOUNTS AND FINANCIAL PLANNING SERVICE (9/26/2025)

AMERIPRISE PREMIER RETIREMENT INCOME (7/25/2025)

AMERIPRISE FINANCIAL PLANNING SERVICE - LIMITED CONSULTING SERVICES SUPPLEMENT (3/28/2025)

AMERIPRISE FINANCIAL PLANNING SERVICE - DIVORCE FINANCIAL ANALYSIS SUPPLEMENT (3/28/2025)

AMERIPRISE RETIREMENT PLAN CONSULTING SERVICES (3/28/2025)

AMERIPRISE FINANCIAL PLANNING SERVICES - FLEXIBLE SERVICE SUPPLEMENT (3/28/2025)

AMERIPRISE FINANCIAL PLANNING SERVICES (3/28/2025)

AMERIPRISE FINANCIAL PLANNING SERVICE - CONSULTING SERVICE SUPPLEMENT (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
AMPF HOLDING, LLC	SHAREHOLDER
DOREN, MITCHELL DAVID	REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER)	2129844
FLEMING, JOSEPH DANIEL	SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	2093776
MATTOX, MICHAEL SCOTT	VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER	4383501
O'CONNELL, PATRICK HUGH	DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT	2246285
SENNE, ANN MARIE	EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS	2515669
SWEENEY, JOSEPH EDWARD	PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER	4668713
WILLIAMS, WILLIAM JERRYL	EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER	1954117

Regulatory assets under management

Total Number of Accounts	2,281,153
AUM (Assets Under Management)	$ 564,622,896,919

Disclosures

Regulatory Event	79
Civil Event	1
Arbitration	103

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/19/2025	Cover Page	Report
09/23/2024	Cover Page	Report
10/24/2023	Cover Page	Report
12/16/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Todd R. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/1992

Series 63

Date: 5/28/1985

SIE

Date: 10/1/2018

Series 31

Date: 11/24/1995

Series 7

Date: 5/18/1985

Current Firm

AMERIPRISE FINANCIAL SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

AMERIPRISE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

Contact information

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