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Warren Locke

Ameriprise Financial Services, LLC
43 Years of Experience
Chico, CA
5 DisclosuresBroker
View SEC Summary
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Warren Locke is a registered investment advisor at Ameriprise Financial Services, LLC, based in Chico, CA, with 43 years of industry experience. Warren 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

Chico, CA

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History

Regulatory History (5)
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.
Judgment / Lien
December 2012
Judgment / Lien
December 2011
Judgment / Lien
January 2010
Customer Dispute
March 1998
Closed-No Action
Criminal
June 1965
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other 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
July 2014 - Present · 12 yrs 3 mos
Ameriprise Financial Services, LLC
July 2014 - Present · 12 yrs 3 mos
Ameriprise Financial Services, LLCBroker
July 2014 - Present · 12 yrs 3 mos
Previous Registrations
Mutual Advisors, LLC
July 2013 - July 2014 · 1 yr
Mutual Securities, INC.
April 2008 - July 2013 · 5 yrs 3 mos
Mutual Securities, INC.Broker
March 1998 - July 2014 · 16 yrs 4 mos
First Associated Securities Group, INC.Broker
May 1990 - March 1998 · 7 yrs 10 mos
Painewebber IncorporatedBroker
July 1988 - April 1990 · 1 yr 9 mos
Birr, Wilson Securities, INC.Broker
April 1986 - July 1988 · 2 yrs 3 mos
Birr, Wilson & CO., INC.Broker
June 1983 - April 1986 · 2 yrs 10 mos
State Registrations8 states
CACOCTGAIDMDNENV
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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Warren Locke - Financial Advisor | TrueAdvisor