Matthew Smith

Financial advisor at Ameriprise Financial Services, LLC · Greenwich, CT

Last updated 2026-10-10

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Matthew Smith is a financial advisor at Ameriprise Financial Services, LLC in Greenwich, CT, CRD 5238666. Licenses and exams on the registration: Series 63, Series 65. IAPD registration began 2009-03-24.

Registration

CRD number
5238666
Registration status
Active
IAPD registration
2009-03-24
Industry Experience
17 years
Work Experience
17 years
States registered
CA, CT, FL, TX, VA

Licenses and exams

  • Series 63
  • Series 65

Work history

  • 2009-10 to 2020-03 · Ameriprise Financial Services, Inc. · Greenwich, CT
  • 2009-10 to 2020-03 · Ameriprise Financial Services, Inc. · Greenwich, CT
  • 2020-03 to Present · Ameriprise Financial Services, LLC · Greenwich, CT

Current employment

SEC IAPD record for Matthew Smith

Ameriprise Financial Services, LLC

Regulatory AUM
$660,474,421,776
Registered advisors
12,966
Offices
7,819
Clients per advisor
106.9 (Moderate)
Average AUM per client
$476.4K (Low)
High-net-worth client ratio
13.3% (Low)

Ameriprise Financial Services, LLC: advisors, services and reported ETF investments

About

Matthew Smith is a financial advisor at Ameriprise Financial Services, LLC in Greenwich, CT. Reported securities licenses include Series 63 and Series 65. The latest record indicates 17 years of industry experience and 17 years of reported work history. Reported roles include Ameriprise Financial Services, Inc., among others.

SEC disclosures list additional business and community activities: Board Of Directors; Dorlon Marina Association; Treasurer; 199 Gregory Blvdnorwalk.

Ameriprise Financial Services, LLC's firm-level Form ADV reports 12,966 advisors across 7,819 offices; approximately 106.9 clients per advisor, average assets per client of $476,420, and regulatory AUM of $660.5B; client categories including Individuals (non-HNW), High net worth individuals, Pension and profit-sharing plans, Charitable organizations, State or municipal government entities, Insurance companies; services including Financial Planning Services, Portfolio Management: Individuals and Small Businesses, Portfolio Management: Businesses or Institutional Clients, Pension Consulting Services, Selection of Other Advisers.

What this firm offers

Filed by Ameriprise Financial Services, LLC on Form ADV.

Client services

  • Financial Planning Services
  • Individuals and Small Businesses
  • Businesses or Institutional Clients
  • Pension Consulting Services
  • Selection of Other Advisers
  • Publication of Periodicals or Newsletters
  • Educational Seminars or Workshops
  • Other Advisory Service

Fee options

  • Percentage of Assets Under Management
  • Hourly Charges
  • Fixed Fees (Other Than Subscription)

Business and affiliations

  • Broker-Dealer (Registered or Unregistered)
  • Commodity Pool Operator or Trading Advisor
  • Insurance Broker or Agent
  • Sells Non-Advisory Products or Services
  • Broker-Dealer or Municipal Securities Dea
  • Other Investment Adviser (Incl. Financial
  • Commodity Pool Operator or CTA
  • Banking or Thrift Institution
  • Trust Company
  • Insurance Company or Agency
  • Sponsor or GP of Pooled Investment Vehicl

Location

41 W Putnam Ave, Greenwich, CT 06830

12 advisors at this office.

Ameriprise office in Greenwich, CT

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Contact

The firm's filed contact details.

Official record

View the official SEC IAPD record

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