Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rick? Claim Your ProfileRick Schwartz is a financial advisor with Ameriprise Financial Services, LLC. Rick has been in the financial industry since 1976 and has been registered with Ameriprise since 1999. Rick is a registered representative in Iowa and has earned his Series 63, Series 6TO, Series 22TO, SIE, Series 7 and Series 1 licenses. Rick has prior experience with IDS Life Insurance Company and IDS Financial Services Inc. Rick has served clients including individuals, high-net-worth individuals, charitable organizations, trusts/estates, pension and profit-sharing plans, corporations or other businesses, insurance companies, and state or municipal government entities. Rick provides a variety of services including financial planning, portfolio management for individuals and businesses, asset allocation services, educational seminars, selection of other advisors and publication of periodicals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
IA
01/01/1999 - Present
Ameriprise Financial Services, LLC (Cedar Falls IA)
MN
09/01/1976 - 07/03/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NA
09/01/1976 - 12/24/1986
IDS FINANCIAL SERVICES INC.
BC
Issued 02/10/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/18/1986
Series 7 - General Securities Representative Examination
BC
Issued 08/26/1976
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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