David Thomas Nichols

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

• 10/2011 → 03/2020
  Ameriprise Financial Services, Inc.
  Durham, NC
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Raleigh, NC

Previous Registrations

• 2009-06-01 → 2011-10-26
  Morgan Stanley
  Durham, NC
• 2001-12-31 → 2009-06-01
  Citigroup Global Markets Inc.
  Durham, NC
  Durham, NC

Other Businesses

Real Estate Ownership; Lot/Land; Roan Vista, Roan Mt, TN, ,; ; 01/28/2006 / Lot/Land; Cloudland Ridge, Roan Mt, TN, ,; ; 01/28/2006 / Lot/Land; Chapel Ridge, Pittsboro, NC, ,; ; 01/28/2006 / Lot/Land; Hampton Creek, Roan Mountain, TN, ,; ; 01/28/2006.

Exams

• S65 Uniform Investment Adviser Law Examination
  1991-09-18
• S63 Uniform Securities Agent State Law Examination
  1980-05-12