Saffiate Hales
Investment Adviser Representative at Ameriprise Financial Services, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Saffiate Hales is an investment adviser representative with Ameriprise Financial Services, LLC in Richland, WA, where they have been registered since 2022. They have worked in the securities industry since 2018 and have been registered with 3 firms, including D.a. Davidson & Co. and LORD, Abbett & Co. LLC. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in California and Washington.
Registrations & licenses
- Investment adviser:
- California, Washington
- Broker:
2 states and territories
California, Oregon
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Lord, Abbett & Co. LLCDec 2016 – Feb 2020Jersey City, NJ
- UnemployedAug 2016 – Nov 2016Hempstead, NY
- UnemployedMar 2020 – Sep 2020Pendleton, OR
- D.A. Davidson & Co.Sep 2020 – Jul 2021Pendleton, OR
- Ameriprise Financial Services, LLCOct 2022 – no end date reportedMinneapolis, MN
- ThrasioJul 2021 – May 2022Boston, MA
- UnemployedJun 2022 – Sep 2022Pendleton, OR
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Ameriprise Financial Services, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 12,969
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Minneapolis, MN
- SEC file number:
- 801-28543
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 25, 2026
View full firm profileOther advisors at Ameriprise Financial Services, LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Saffiate Hales has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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