ALICE RETTIG PFAHLERT is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 200 MAPLE PARK BLVD, STE 206, ST CLAIR SHORES, MI, 48081.
ALICE RETTIG PFAHLERT has worked at AMERIPRISE FINANCIAL SERVICES, INC. since January 21, 1987
Disclosure History
ALICE RETTIG PFAHLERT has 2 Disclosure Event(s).
Date: April 02, 2014 Category: Customer Dispute Allegations: THE CUSTOMERS ALLEGED THE INITIAL INVESTMENT THAT WAS USED TO PURCHASE THE CNL LIFESTYLE PROPERTIES, INC. REIT IN NOVEMBER 2005 WAS TO BE LIQUID AND THAT THEY WERE NOT INFORMED OF ISSUES WITH THE REIT. Damage Amount Requested: $17,780.70
Date: February 02, 2007 Category: Customer Dispute Allegations: THE CLIENT'S SON SUBMITED A COMPLAINT SIGNED Y THE CLIENT ALLEGING THE WRAP ACCOUNT SHE PURCHASED IN SEPTEMBER 20,2000 AND IVESTED INTO MUTAL FUNDS WAS NOT SUITABLE BASED ON THE LEVEL OF RISK IN THE INVESTMENTS AND THE CLIENT'S AGE AT THE TIME OF THE PURCHASE. HER SON REQUESTED WE REIMBURSE THE CLIENT FOR MARKET LOSS AND THE WRAP ACCOUNT FEES. Damage Amount Requested: $54,736.91 Broker Comment: THE REVIEW FOUND THE RECOMMENDATIONS MADE TO THE CLIENT WERE CONSISTENT WITH HER GOALS AND OBJECTIVES OF INCOME AND CAPITAL PRESERVATION AND HER MODERATELY CONSERATIVE RISK TOLERANCE. LOSSES OF $22,109.97 WERE LOWER THAT STATED IN THE CLIENTS LETTER AND WERE PARTIALLY A RESULT OF THE CLIENT CASHING OUT ALL HER STOCK FUNDS IN 2002 WITHOUT ADVISOR RECOMMENDATION. SEVERAL ATTEMPTS TO MEET WITH THE CLIENT TO DISCUSS HER PORTFOLIO AND MAKE ANY NECESSARY ADJUSTMENTS WERE CANCELLED BY THE CLIENT AND WERE UNABLE TO BE RESCHEDULED.
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