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Joseph Rettig

Ameriprise Financial Services, LLC
43 Years of Experience
Spring Hill, FL
7 DisclosuresBroker
View SEC Summary
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Joseph Rettig is a registered investment advisor at Ameriprise Financial Services, LLC, based in Spring Hill, FL, with 43 years of industry experience. Joseph 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

5089 Commercial Way, Spring Hill, FL, 34606

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History

Regulatory History (7)
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
January 2012
Denied
Customer Dispute
November 2011
Denied
Customer Dispute
February 2009
Settled
Customer Dispute
September 2008
Withdrawn
Customer Dispute
May 2008
Denied
Customer Dispute
September 2001
Settled
Customer Dispute
November 1998
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joseph has business ownership interests, dedicating minimal time to this activity. This activity is not investment-related.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
April 1987 - Present · 39 yrs 6 mos
Ameriprise Financial Services, LLCBroker
May 1986 - Present · 40 yrs 5 mos
Ameriprise Financial Services, LLC
May 1986 - Present · 40 yrs 5 mos
Previous Registrations
Ids Life Insurance CompanyBroker
November 2000 - July 2006 · 5 yrs 8 mos
First Investors CorporationBroker
January 1983 - June 1986 · 3 yrs 5 mos
State Registrations44 states
AKALAZCACOCTDCFLGAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNHNJNMNVNYOHOKORPARISCSDTNTXUTVAWAWIWVWY
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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