David Mark Fishman

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2011 → 11/2016
  Wells Fargo Advisors Llc
  Los Angeles, CA
• 11/2016 → 02/2021
  Wells Fargo Clearing Services, Llc
  Los Angeles, CA
• 02/2021 → 02/2021
  Ameriprise Financial Services Inc
  Los Angeles, CA
• 03/2020 → 03/2020
  Ameriprise Financial Services, Llc
  Los Angeles, CA
• 02/2021 → Present
  Ameriprise Financial Services, Llc.
  Los Angeles, CA

Previous Registrations

• 2011-01-03 → 2021-03-08
  Wells Fargo Clearing Services, Llc
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA
  El Segundo, CA
  El Segundo, CA
  Los Angeles, CA
• 2010-04-27 → 2011-01-03
  Wells Fargo Investments, Llc
  Los Angeles, CA
  Los Angeles, CA
• 2009-10-23 → 2010-04-26
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Hollywood, CA
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA
• 2003-02-14 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Los Angeles, CA
  Los Angeles, CA
  West Hollywood, CA
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA
  Hollywood, CA
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA
  Hollywood, CA
• 1999-04-26 → 2003-02-25
  Prudential Equity Group, Llc
  Sf, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-10-09
• S63 Uniform Securities Agent State Law Examination
  1998-10-05