Dawn Elizabeth Smith

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

• 09/2005 → 03/2020
  Ameriprise Financial Services, Inc.
  Hopkinton, MA
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Hopkinton, MA

Other Businesses

Real Estate Ownership; Multi-Family; 23 Central Street, Marlborough, MA 01752, ,; Not Investment-Related; 11/01/2018 / Single Family; 1678 Sandfiddler Road, , Corolla, NC, 27927; Investment-Related; 05/01/2024 / Single Family; 289 Main Street, , Clinton, MA, 01510; Investment-Related; 05/30/2025. Business Ownership; DES Group, Inc.; Provide client service support, leadership, and direction for the business as it relates to strategic direction, operations, business development and financial management; Entity structure supports operations of the Ameriprise Financial practice, including leadership, payment of payroll and expense and profit distribution to owners.; 63 South Street, , Hopkinton, MA, 01748; Investment-Related; 02/22/2021; 60 hours per month; 60 during trading hours / Aloha 261 LLC; Maintain the LLC and any permits/tax responsibilities required; This LLC is designed to hold a real estate property. There will be no income until we are ready to occupy the real estate, hopefully February 2023. The income is "0" until then.; 9 Andrea Drive, , Hopkinton, MA, 01748; Investment-Related; 12/07/2021; 1 to 9 hours per month; 1 to 9 during trading hours / Swandipity, LLC; Owner; Real Estate; 9 Andrea Drive, , Hopkinton, MA, 01748; Not Investment-Related; 04/25/2024; 1 to 9 hours per month; 1 to 9 during trading hours / Sally's House LLC; Owner; I am starting a sober house for women in the MA metrowest area. There is a great need and I feel compelled to help. I will not be "running" the sober house; I will own it. I have a manager selected for this role.; 289 Main Street, , Clinton, MA, 01510; Not Investment-Related; 07/01/2025; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Hopkinton Chamber of Commerce; Board Member; P.O. Box 55Hopkinton, MA 01748, ,; Not Investment-Related; 02/01/2019; 1 to 9 hours per month; 0 during trading hours. Outside Employment; DES Group, Inc.; CEO - Aid in providing management and decision making with regard to strategic vision, operational and financial support of the Ameriprise Financial practice.; ; 63 South Street, , Hopkinton, MA, 1748; Investment-Related; 03/18/2022; 60 hours per month; 60 during trading hours.

Exams

• S63 Uniform Securities Agent State Law Examination
  1993-02-23

Other Names

• Dawn Elizabeth Smith
• Dawn Elizabeth Smithmaloney
• Dawn Elizabeth Smith Maloney