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Roger Sulhoff

Ameriprise Financial Services, LLC
44 Years of Experience
Gainesville, GA
4 DisclosuresBroker
View SEC Summary
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Roger Sulhoff is a registered investment advisor at Ameriprise Financial Services, LLC, based in Gainesville, GA, with 44 years of industry experience. Roger is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12955 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

329 Oak St Ste 202, Gainesville, GA, 30501

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2014
Settled
Customer Dispute
March 2013
Settled
Customer Dispute
February 2008
Settled
Customer Dispute
January 2001
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Roger is a managing member of NancyE III, LLC and owner of NancyE IV, LLC, both Georgia corporations. He also owns Yachtsman Capital Resources, a pass-through corporation for tax reporting and real estate holding; these activities each require minimal time.

Employment History
Current Registrations
Ameriprise Financial Services, LLCBroker
October 2019 - Present · 7 yrs
Ameriprise Financial Services, LLC
October 2019 - Present · 7 yrs
Ameriprise Financial Services, LLC
October 2019 - Present · 7 yrs
Previous Registrations
The Strategic Financial Alliance
July 2010 - October 2019 · 9 yrs 3 mos
The Strategic Financial Alliance, INC.Broker
June 2010 - October 2019 · 9 yrs 4 mos
The Strategic Financial Alliance
June 2010 - July 2010 · 1 mo
Oneamerica Securities, INC.
April 2003 - July 2010 · 7 yrs 3 mos
Oneamerica Securities, INC.Broker
May 2002 - July 2010 · 8 yrs 2 mos
American General Securities IncorporatedBroker
August 2000 - June 2002 · 1 yr 10 mos
Sunamerica Securities, INC.Broker
April 1995 - August 2000 · 5 yrs 4 mos
Ifg Network Securities, INC.Broker
October 1992 - April 1995 · 2 yrs 6 mos
Planned Investments INC.Broker
January 1991 - December 1992 · 1 yr 11 mos
Ifg Network Securities, INC.Broker
September 1990 - December 1991 · 1 yr 3 mos
First American National Securities, INC.Broker
August 1982 - September 1990 · 8 yrs 1 mo
State Registrations21 states
ALAZCACODEFLGAIDILINKSLAMDMTNCOHSCTNTXUTVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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