Warren Locke
Warren Locke is a registered investment advisor at Ameriprise Financial Services, LLC, based in Chico, CA, with 42 years of industry experience. Warren operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,330,280 clients with $560B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Ameriprise Financial Services offers several managed account programs. The fees vary depending on the program selected. These fees include an asset-based fee, which covers investment advisory services and investment management fees. Some accounts may also have an Investments and Infrastructure Support Fee. Clients also pay investment costs, which are the underlying fees related to investment products purchased within the managed account. Additional fees and expenses may be incurred based on the nature of the investments.
Location
Chico, CA
Get directionsHistory
Regulatory History (5)
Judgment / Lien
December 2012Judgment / Lien
December 2011Judgment / Lien
January 2010Customer Dispute
March 1998Criminal
June 1965Other Business Activities
Warren works as an advisor with Blue Oaks Management, LLC, an Ameriprise Financial Franchise. This takes about a third of his time.
Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Previous Registrations
Mutual Advisors, LLC
Mutual Securities, INC.
Mutual Securities, INC.Broker
First Associated Securities Group, INC.Broker
Painewebber IncorporatedBroker
Birr, Wilson Securities, INC.Broker
Birr, Wilson & CO., INC.Broker
State Registrations8 states
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.