| Advisor Profile |
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| Name: |
Nicholas Efthemis, CFP® |
| Phone Number: |
(716) 650-4498 |
| Website: |
Visit Website
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Business Description |
| Ameriprise Financial delivers financial solutions for today and tomorrow through a comprehensive and personalized financial planning approach built on a long-term relationship with a knowledgeable advisor. |
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General Information |
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| Name of Broker/Dealer: |
Ameriprise Financial Services, Inc.
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| States Licensed in: |
AZ, FL, NY
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| Years of Experience in Financial Services: |
12
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| Number of Years with Current Firm: |
12
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| I work with the following types of clients: |
Individual Investors
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Services |
| Investment Types: |
Options & Futures, Mutual Funds, Annuities, Stocks, Bonds
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant
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| Securities Licenses: |
Series 7
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| Insurance and Annuity Licenses: |
Annuity
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Firm Information |
| Number of Advisors in Office: |
10 - 99 employees
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Compliance |
| Registered Representative: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-based financial professional: |
Yes
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| Compensation Methods: |
Based on Assets, Flat Fee
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| Fee % Based on Assets: |
1%
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| Additional Details on Charges: |
As each client's needs vary greatly, fees will be set according to the client's needs and the complexity of the work involved.
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| Prepared By: |
Nicholas Efthemis, CFP® |
| Most Recent Update: |
10/08/2008 |
Frequently Asked Questions |
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