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Troy Harvey Smith

Ameriprise Financial Services, LLC

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About Troy Harvey Smith

Troy Harvey Smith is a financial advisor with Ameriprise Financial Services, LLC. Troy has been in the financial services industry since December 3, 1985. Troy has Series 7, Series 63, and Series 65 licenses and is registered with the state of Pennsylvania. Troy also holds the Securities Industry Essentials Examination (SIE). Troy has previously worked with Cetera Investment Services LLC and Wall Street Investor Services. Troy specializes in Financial Planning, Pension Consulting, Educational Seminars, Portfolio Management for Businesses, and Portfolio Management for Individuals.

Firm Information

Troy Smith 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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Troy Smith’s Registration & Firm History

PA

12/22/2022 - Present

Ameriprise Financial Services, LLC (Stroudsburg PA)

PA

12/07/1995 - 12/31/2019

CETERA INVESTMENT SERVICES LLC (STROUDSBURG PA)

NY

06/08/1992 - 12/04/1995

WALL STREET INVESTOR SERVICES (NEW YORK NY)

NA

09/09/1991 - 05/26/1992

UNITED PACIFIC FINANCIAL SERVICES, INC.

WI

11/20/1985 - 09/16/1991

INVEST FINANCIAL CORPORATION (APPLETON WI)

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Licenses & Designations

IA

Issued 04/01/2000

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/04/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/16/1985

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Troy Harvey Smith.
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