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Registered Rep.
November 1, 2005
Kristen French |
The Ameriprise Challenge Formerly known as American Express Financial Advisors, the firm officially struck out on its own when it debuted on the NYSE. Ameriprise is one of the largest financial advisory firms, with more than 10,500 financial advisors and over $410 billion in assets. Still it's got a lot to prove.   |
Registered Rep.
February 1, 2005
David A. Geracioti |
American Express to Exit the Financial Advisory Business American Express Financial Advisors will be spun off to shareholders and not sold because of adverse tax consequences that shareholders would have faced in a sale. American Express shares jumped 6.4% on the news. |
Registered Rep.
July 27, 2006
Kristen French |
Ameriprise FAs, Without American Express, Gain New Assets, Improve Average Production by Double Digits So far, Ameriprise seems to be doing just fine without the backing of its former parent company. The firm had a good second quarter, meeting analyst expectations, enjoying strong asset flows, improving advisor productivity and increasing its mass affluent client base |
Registered Rep.
October 28, 2010
Jerry Gleeson |
Ameriprise Profits Pop, Advisors More Productive Ameriprise's Advice and Wealth Management business is doing more with less: fewer advisors, higher revenue and profits. |
Registered Rep.
August 13, 2008
Halah Touryalai |
Ameriprise Buys H&R Block Reps Ameriprise Financial is 900 advisors stronger after it purchased H&R Block Financial Advisors for $315 million in cash. |
Registered Rep.
February 3, 2011
Jerry Gleeson |
Ameriprise Advisor Production Still Rising -- Investors Disappointed by Firm-Wide Results The number of advisors continues to drop at Ameriprise Financial, but the company is more than making up for it with sharply higher productivity. |
Financial Planning
August 1, 2005
Brian O'Connell |
It's Morning at Ameriprise James Cracchiolo must shepherd the American Express spinoff into a new phase of growth. From the perspective of Ameriprise's management, the spin-off is a chance to reshape the way the public views advisory services. |
Registered Rep.
April 26, 2011
Diana Britton |
Ameriprise Profits Rise on Record Advisor Productivity The firm reported its best quarterly advisor productivity ever at $95,000, up 23 percent from 2010. |
Registered Rep.
July 28, 2011
Diana Britton |
Ameriprise: Rep Productivity at New High; Securities America Sale in `Near Future' Advisor productivity reached a new high for Ameriprise Financial. |
The Motley Fool
October 30, 2006
Brian D. Pacampara |
Ameriprise's Earnings Surprise Right off the bat, Ameriprise Financial, the asset management company spun off from American Express last fall, is an enticing proposition. Investors, take note. |
Registered Rep.
March 1, 2005
David A. Geracioti |
An Amexit Stage Right Saying there are "few critical strategic links between the two businesses that create a compelling case" for keeping them together, American Express CEO Ken Chenault announced Amex's plans to spin off American Express Financial Advisors. |
Registered Rep.
January 1, 2005
Shaw Grove & Alan Prince |
Does Branding Still Matter? Are today's high-net-worth clients attracted or, at best, ambivalent, to big name financial services firms? |
Registered Rep.
December 1, 2005
Leitch & French |
2005 Year in Review Regulating You Stresses Them Out... Amalgamated Antimatter Anyone?... How About a Bull-Market Rain Dance?... Reps Have a Bad Rep... etc. |
Registered Rep.
October 27, 2011
Diana Britton |
Ameriprise Profits, FA Productivity Down Amid Solid Recruiting Quarter Ameriprise Financial has been steadily improving the productivity of its advisors since the firm set its sights on this goal over a year ago - until now. |
Registered Rep.
September 1, 2004
Joan Warner |
The Great Experiment In an effort to hang on to its best producers and lure a fresh crop, American Express Financial Advisors launched triple career tracks for its reps. |
Registered Rep.
April 1, 2005
Kristen French |
The New New Thing at AEFA Since launching its unique three-tier career-track system in 2000, the company has regularly tweaked payouts, fees, incentives and training and affiliation options. Now, the recently announced spinoff from American Express may force it to rethink itself once again. |
Investment Advisor
May 1, 2011
Janet Levaux |
Securities America Denies Charges of Departing Reps Anonymous sources insist advisors are leaving or planning to leave the firm |
The Motley Fool
February 1, 2005
Rich Duprey |
It's Good to Be Warren Buffett He reaps a new windfall as American Express spins off its Financial Advisors unit with 100% of the shares going to stockholders. |
Registered Rep.
April 25, 2011
Diana Britton |
Ameriprise to Shed Securities America Amid Pending Settlement The company plans to sell its independent broker/dealer unit Securities America, while the firm is still in the process of finalizing a settlement with investors claiming SAI sold allegedly fraudulent private placement. |
Registered Rep.
March 17, 2011
Diana Britton |
Securities America Faces Settlement Hearing Friday; Legal Liabilities Up in the Air Securities America will face a federal court judge to decide whether the independent broker/dealer gets preliminary approval for a $21 million settlement agreement related to private placements sold by the company. |
Investment Advisor
June 2010
Ray Sclafani |
Geri Pell Notwithstanding her past accomplishments, Geri is in the process of a significant rebranding of herself, as an advisor and as a person. |
Registered Rep.
August 17, 2011 |
Ladenburg Thalmann to Buy Securities America Ladenburg Thalmann Financial Services Inc. has agreed to buy Securities America Financial Corp., the troubled independent broker/dealer, from Ameriprise Financial Inc. for at least $150 million in cash. |
Registered Rep.
March 21, 2011
Diana Britton |
Judge Shoots Down Securities America Settlement; Arbitrations Move Forward Securities America's request to bundle several arbitration claims and class action lawsuits into one $21 million settlement agreement related to allegedly fraudulent private placements sold by the company was denied. |
Registered Rep.
August 23, 2005
John Churchill |
Proprietary Matters for AEFA and UBS Selling proprietary product via a firm's own sales force was once considered a great strategy for maximizing revenue. In another sign that that strategy is dead: UBS and Ameriprise are now embroiled in separate class-actions suits. |
Investment Advisor
June 2009
Robert F. Keane |
About the Planner Facts and figures about Bob Whalen, president of Brewer Financial Services. |
Registered Rep.
January 1, 2006
John Churchill |
Blotter Congregation Con Man... Another Fraudulent Market-Timing Bust... |
Registered Rep.
October 24, 2007
Halah Touryalai |
Ameriprise Branches Face Potential Fines for Fake Financial Plans Ameriprise Financial Services has long been accused of possessing a culture that's more concerned with sales commissions than compliance. |
Registered Rep.
April 28, 2011
Diana Britton |
Securities America Likely To Sell At Discount Ameriprise needs to find a buyer for Securities America in a hurry. Many advisors, including large producers, are likely to leave the firm, especially between now and the time a buyer emerges, sources told Registered Rep. |
Registered Rep.
October 26, 2005
Kevin Burke |
Regulators Hit Ameriprise for $1.25 Million Over 529 Sales Regulators fired their first shot in what figures to be a round of enforcement actions against brokerages for abusive sales practices related to 529 college savings plans. |
BusinessWeek
September 26, 2005
Adrienne Carter |
Life Without AmEx Ameriprise, the financial-planning unit American Express is cutting loose, faces a crowded field in targeting baby boomers. |
Financial Planning
March 1, 2005
Abigail LaCroix |
News Digest Amex Suffers Separation Anxiety... AIG Advisor Group Consolidates and Re-brands... Revenue Sharing Boosts Fund Sales... AARP Pans Personal Retirement Accounts... Aligning Muni Rules with NASD Guidelines... etc. |
AskMen.com
December 9, 2001
Rashmikant Patel |
Trusting Your Advisor Many of us are looking back at our investments over the last couple of years, and blaming our advisors for the less than stellar performance. It all comes down to one issue: do you trust your financial advisor? |
Financial Planning
August 1, 2011
Donna Mitchell |
Ready to Commit Omaha, Neb.-based Securities America is one of Ameriprise's five broker-dealer subsidiaries. That Ameriprise, based in Minneapolis, announced its intention in March to sell the independent broker-dealer without a buyer lined up is also unusual. |
Financial Advisor
March 2005 |
Frontline News AICPA Joins FPA In Opposing Exemption For Brokers... Heads Roll At CFP Board As Up To 25% Of Staff Gets Axed... American Express Spinning Off Advisors Unit... Board Of Standards Disciplines 23... etc. |
Financial Advisor
January 2012
Bruce W. Fraser |
Full Steam Ahead What could have been a sad chapter for Securities America now seems to be a new lease on life for the firm. |
Financial Planning
May 1, 2013 |
Ameriprise's Don Froude: 'Take Care of My Family' For the head of Ameriprise Financial s Personal Advisors Group, the ultimate compliment is to have a client turn to his planner in time of crisis. |
The Motley Fool
January 27, 2004
Jeff Hwang |
AmEx Rides the Recovery Spending by cardmembers and an improving stock market fuel growth. |
The Motley Fool
October 26, 2004
Alyce Lomax |
Giving Credit to AmEx Given the current economic climate, is AmEx about to charge it up? Third-quarter net income at American Express rose 14% to $879 million, or $0.69 per share. |
Registered Rep.
January 1, 2006 |
In League With Dr. Phil? During a three-part series called "The First Wives' Club" the talk show host offered newly divorced women gifts from a number of firms, including Ameriprise, aimed at helping them achieve financial independence. |
Registered Rep.
November 1, 2005
Kristen French |
Trolling for 401(k) Treasure Congress is expected to enact new pension legislation that would make it easier for financial advisors to work with participants in company retirement programs. |
Financial Planning
December 1, 2005
Lynn Hume |
Ameriprise to Pay $1.25 Million Fine for 529 Sales In a first-of-a-kind enforcement action, the NASD ordered the former American Express Financial Advisors to pay $1.25 million for failing to adequately supervise its sales of Section 529 college savings plans. |
On Wall Street
May 1, 2013
Mason Braswell |
Retirement Planning Missteps: Older Clients Need Less Money Management Advice Starting holistic planning earlier will help preserve boomers wealth. |
Financial Planning
June 1, 2013
Ann Marsh |
FP50: Big IBDs Hit a Speed Bump Is the boom over? After years of double-digit growth, independent broker-dealers hit a rough patch in 2012. We report from the front lines of the FP50. |
The Motley Fool
July 27, 2004
Dave Marino-Nachison |
The AmEx Example The firm's travel services and other businesses are performing, but investors are still cautious. |
Financial Planning
February 1, 2013 |
Women Advisors Forum: Smartest Practice Tips Women Advisors Forum: Smart Practice Tips. Get great advice and networking opportunities, too. |
Registered Rep.
November 7, 2011
Diana Britton |
Ladenburg Thalmann's Acquisition of Securities America a Done Deal Ladenburg Thalmann has closed the deal to acquire independent broker/dealer Securities America from Ameriprise Financial. |
The Motley Fool
August 13, 2007
Dan Caplinger |
Don't Pay Twice for Advice There's nothing inherently wrong with paying for financial advice. But there's a big difference between paying once for a good financial plan versus paying high fees year after year, through good times and bad. |
Financial Planning
June 1, 2010
Paul Menchaca |
Survivor Island Firms that endured the worst of the financial crisis and lived to tell about it. |
