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Thomas Roderick North

Ameriprise Financial Services, LLC

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About Thomas Roderick North

Thomas Roderick North is an investment advisor representative with Ameriprise Financial Services, LLC based in Monterey, California. Thomas has been in the financial services industry since 1980 and has a diverse background in both broker-dealer and investment advisory services. Thomas has held prior roles at WELLS FARGO CLEARING SERVICES, LLC and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.

Firm Information

Thomas North is currently registered with Ameriprise Financial Services, LLC. Ameriprise Financial Services, LLC is a Limited Liability Company formed in 1971 and headquartered in Minneapolis, Minnesota. The firm offers a variety of financial services, including financial planning, pension consulting, educational seminars, and portfolio management for individuals and businesses. Ameriprise has a significant presence in the United States, with a network of over 11,000 licensed agents and investment advisor representatives. The firm manages over $479 billion in assets for a diverse range of clients, including high-net-worth individuals, corporations, and pension plans.
Ameriprise Financial Services, LLC

707 2ND AVENUE SOUTH

MINNEAPOLIS, MN 55402

$479.79B

Assets Under Management

140,938

Total Clients

13,002

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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asset allocation services

Asset allocation services

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Thomas North’s Registration & Firm History

CA

09/05/2023 - Present

Ameriprise Financial Services, LLC (Monterey CA)

CA

06/29/2012 - 09/20/2023

WELLS FARGO CLEARING SERVICES, LLC (CARMEL CA)

CA

10/21/2005 - 07/02/2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CARMEL CA)

NY

10/20/1980 - 10/25/2005

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

IA

Issued 12/08/1992

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/08/1980

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/30/1982

Series 5 - Interest Rate Options Examination

BC

Issued 10/18/1980

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Thomas Roderick North. Review regulatory record here.
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