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SUBMIT A TIP RECEIVE DAILY NEWS ACCOUNT
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 * News
     
   * * Latest News
         
       * * Robinhood to Clients: Stay Just a Little Bit Longer
       * * Morgan Stanley Rolls Out ‘Bird’s Eye View’ Tool for Managers to Track
           Brokers’ Client Engagement
       * * JPMorgan Packed Its Wealthy Clients Into Tiger Global Fund for
           Private Bets
       * * SEC Accuses Western International Securities and Five Brokers of Reg
           BI Violations
         
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     * Advisor Moves
         
       * * $6.5-Million Merrill Stock Plan Team in D.C. Goes Indie with Cetera
       * * First Republic Scoops up $10-Million Merrill Private Wealth Broker in
           NYC
       * * Rockefeller Buys Advisory Practice in Florida with $1.5 Bln AUM
       * * Rockefeller Lassoes $2.2-Mln Solo UBS Private Wealth Broker in Dallas
         
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     * Enforcement
         
       * * SEC Accuses Western International Securities and Five Brokers of Reg
           BI Violations
       * * Schwab to Pay $187 Million to Settle SEC Charges Over Robo-Advisor
           ‘Cash Drag’
       * * Merrill to Reimburse Customers $15.2 Million for Mutual Fund Sales
           Overcharges
       * * First Republic to Pay $1.8M to Settle SEC Charges over Revenue
           Sharing Violations
         
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     * Markets
         
       * `Nothing Safer Than Cash’: Tech Rout Puts Silicon Valley on Edge
       * ‘Any News Is Bad News’ as Earnings Fail to Save Equity Bulls
       * ‘50 Cent’ Profited From Volatility Jump, Wells Fargo Says
       * ‘Beaten Down’ ETF Is a Way to Play Inverted Curve, BofA Says
         
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     * Opinion
         
       * * SIRIANNI: Morgan Stanley’s Moment
       * * Sirianni’s 2022 Predictions: The Year of The Great Entrepreneur
           Revival
       * * Why Only a Huge Shock Will Deter Risk-Taking Investors
       * * Sirianni: Toxic Culture
         
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     * Fintech News
         
       * * UBS “Committed” to Finishing Broker Workstation Revamp Despite
           Delays, CFO Says
       * * Wells Fargo Advisors Rolls Out eMoney Planning Tool for Brokers
       * * Fintech Firm Apex Clearing Agrees to Go Public Via SPAC
       * * Merrill Systems Hiccuped on Thursday as Stocks Slid
         
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     * From the Publisher
         
       * * SIRIANNI: Morgan Stanley’s Moment
         * Sirianni’s 2022 Predictions: The Year of The Great Entrepreneur
           Revival
       * * Tony Sirianni Interviews Ken Cella — Principal, Client Strategies
           Group at Edward Jones
         * Sirianni: Death of the Trainee
       * * Welcome to AdvisorHub RIA
         * From the Publisher: Sirianni’s Predictions for 2021
       * * Seven Questions with Tony Sirianni: Josh Rogers, Founder and CEO,
           Arete Wealth
         * Seven Questions with Tony Sirianni: Phil Hildebrandt, Principal, CEO
           of Segall Bryant & Hamill
         
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At a Glance




AMERIPRISE INDEPENDENT ADVISORS

When it comes to deciding on the right firm, never settle for less. At our core,
we are a people-first culture, delivering the strength of a FORTUNE 500®
company1 with more personal attention than any other firm. We offer more
best-in-class tools, solutions, and end-to-end support — all seamlessly
integrated and accessible anytime, anywhere.
































1 FORTUNE Magazine, May 2022

2 Company data, as of Q1 2022

3 Clients can respond to an internal Ameriprise survey and rate an advisor or
practice based on their satisfaction with the team or practice, on a scale of 1
to 5 (1 extremely dissatisfied to 5 = extremely satisfied). Client experiences
may vary and working with any Ameriprise Financial practice is not guarantee of
future financial results. Investors should not consider this rating a substitute
for their own research and evaluation of a financial practices qualifications.
Only clients with access to the Ameriprise Secure Client Site may submit a
rating. Ratings reflect an average of all client responses received over a
rolling two-year period as of 12/31/2020.

4 Ameriprise Financial 2021 Annual Report and 10K.

5 IBD Recruitment Survey, McLagan Data & Analytics, 2021. Survey covered
recruitment data for 2018, 2019, and 2020 recruits’ 12-month AUM ramp-up as a
percentage of the same recruits’ recruited AUM when compared to the
Participating Firms. Participating Firms: Advisor Group, Cetera, Kestra
Financial, LPL, RJFS, and WF FINET.

*Deals and compensation may vary and are subject to change. Upfront refers to
the upfront promissory note.

Ameriprise Financial Servics, LLC is an Equal Opportunity Employer.

Ameriprise Financial Services, LLC Member FINRA and SIPC.

© 2022 Ameriprise Financial, Inc. AJI rights reserved








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