Ashley A. Smith

Some features on this profile are disabled

CRD#: 1557903

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.

Ashley Anderson Smith, who also goes by Ashley Doreen Anderson, Ashley Smith, was a registered financial professional .

Ashley is a previously registered financial professional and started their career in finance in 1988. Ashley had worked at 16 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Tax Planning Strategies

Women's Financial Strategies

Investment Management

Are you a "fiduciary"?

Aliases

Ashley Doreen Anderson | Ashley Smith

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.

Board of Directors; Smith; Ashley; Board Member; 4144 N Central Expressway, Suite 530 Dallas, TX 75204, , ** not provided **, N/A, 00000; 09/01/2012; 1 to 9 hours per month; 0 during trading hours / Smith; Ashley; Member; 2403 Flora Street, Suite 500 Dallas, TX 75201, , ** not provided **, N/A, 00000; 01/01/2017; 1 to 9 hours per month; 0 during trading hours. Other Business Activities; Well-Heeled Women's Guide: Savvy Tips, smart strategies andcommon sense for ultimate financial freedom; Book; 5910 N Central Expressway Suite 1040 Dallas, TX 75206, , ** not provided **, N/A, 00000; 10/05/2017; 0 during trading hours; 1 to 9 hours per month.

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

November 23, 2020 - March 14, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Richardson, TX

Past

November 18, 2020 - March 14, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Richardson, TX

Past

July 29, 2016 - November 13, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

DALLAS, TX

Past

July 29, 2016 - November 13, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

DALLAS, TX

Past

April 21, 2005 - July 5, 2016

ALLSPRING FUNDS MANAGEMENT, LLC

RIA

CRD#: 110841

SAN FRANCISCO, CA

Past

April 12, 2005 - July 5, 2016

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

CHARLOTTE, NC

Past

October 25, 2004 - April 11, 2005

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

March 23, 2004 - September 9, 2004

INSIGHT CAPITAL RESEARCH & MANAGEMENT INC

RIA

CRD#: 105570

DALLAS, TX

Past

December 13, 2002 - December 31, 2003

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

December 20, 2000 - June 18, 2002

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

June 8, 1999 - August 31, 2000

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

October 27, 1998 - April 7, 1999

CONSECO EQUITY SALES, INC.

CRD#: 4125

CARMEL, IN

Past

August 21, 1997 - August 27, 1998

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

January 26, 1995 - March 5, 1997

FORESIDE DISTRIBUTION SERVICES, L.P.

CRD#: 15634

PORTLAND, ME

Past

March 6, 1994 - September 29, 1994

MERIDIAN, DUNHILL & CO., INC.

CRD#: 15294

Past

May 13, 1992 - March 1, 1993

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

Past

September 27, 1991 - May 19, 1992

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

July 17, 1990 - April 9, 1991

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

March 23, 1988 - July 18, 1990

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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

Series 63

Date: 4/11/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1988

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ashley A. 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

ALLSPRING FUNDS MANAGEMENT, LLC

ALLSPRING FUNDS DISTRIBUTOR, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

INSIGHT CAPITAL RESEARCH & MANAGEMENT INC

TOWER SQUARE SECURITIES, INC.

VERAVEST INVESTMENTS, INC.

MML DISTRIBUTORS, LLC

CONSECO EQUITY SALES, INC.

COREBRIDGE CAPITAL SERVICES, INC.

FORESIDE DISTRIBUTION SERVICES, L.P.

MERIDIAN, DUNHILL & CO., INC.

STEPHENS

RAYMOND JAMES & ASSOCIATES, INC.

EQUITY SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/11/1988

SIE

Date: 10/1/2018

Series 7

Date: 3/19/1988

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

Similar Advisors