Tracey 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:

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2003-12-02

PA RA
APPROVED

Since 2003-12-02

Branch Locations

1 Altoona Pl Carriage House 1St Floor, Mt Lebanon, PA 15228-1265 • United States

Oakdale, PA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Mt Lebanon	PA	09/2005	03/2020
Ameriprise Financial Services, Llc	Mt Lebanon	PA	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Mt Lebanon, PA
03/2020 → Present

Ameriprise Financial Services, Llc

Mt Lebanon, PA

Other Businesses

Real Estate Ownership; Single Family; 304 bell avecarnegie pa 15226, ,; ; / Single Family; 5900 Midnight Pass Road Sarasota FL 34243, ,; ; 04/29/2013. Business Ownership; LFS Management; ; bill payment and protection; One Altoona PlaceMount Lebanon PA 15228, ,; ; ; 1 to 9 hours per month; .

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-11-14
S63	Uniform Securities Agent State Law Examination	1995-11-03

S66 Uniform Combined State Law Examination

2003-11-14
S63 Uniform Securities Agent State Law Examination

1995-11-03

Other Names

Tracey Gordon
Tracey Smith Gordon

View on SEC IAPD