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Mark Kobayashi

Ameriprise Financial Services, LLC
39 Years of Experience
Honolulu, HI
2 DisclosuresBroker
View SEC Summary
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Mark Kobayashi is a registered investment advisor at Ameriprise Financial Services, LLC, based in Honolulu, HI, with 39 years of industry experience. Mark 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

1585 Kapiolani Blvd, Ste 1304, Honolulu, HI, 96814-4523

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History

Regulatory History (2)
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 2004
Denied
Customer Dispute
September 2002
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Mark serves in fiduciary capacities such as attorney-in-fact, trustee, conservator, guardian, executor, or personal representative.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
January 2020 - Present · 6 yrs 9 mos
Ameriprise Financial Services, LLCBroker
December 2019 - Present · 6 yrs 10 mos
Ameriprise Financial Services, LLC
December 2019 - Present · 6 yrs 10 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
May 1999 - December 2019 · 20 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1999 - December 2019 · 20 yrs 9 mos
Fidelity Brokerage Services, INC.Broker
May 1991 - March 1999 · 7 yrs 10 mos
MML Investors Services, INC.Broker
March 1991 - May 1991 · 2 mos
Planned Investments INC.Broker
September 1989 - January 1991 · 1 yr 4 mos
Oppenheimer & CO., INC.Broker
April 1988 - August 1989 · 1 yr 4 mos
Bear, Stearns & CO. INC.Broker
November 1986 - January 1988 · 1 yr 2 mos
State Registrations11 states
AZCACOHIMANVNYORSCTXVA
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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