Charles Shalmi
Charles Shalmi is a registered investment advisor at Ameriprise Financial Services, LLC, based in Boca Raton, FL, with 41 years of industry experience. Charles 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
5200 Town Center Cir Ste 600, Boca Raton, FL, 33486-1045
Get directionsHistory
Regulatory History (9)
Customer Dispute
June 2018Customer Dispute
May 2014Customer Dispute
September 2008Customer Dispute
October 2006Customer Dispute
April 2006Regulatory
March 2006Customer Dispute
November 2005Customer Dispute
September 2005Regulatory
August 2004Employment History
Current Registrations
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
Previous Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Advest, INC.
Advest, INC.Broker
David Lerner Associates, INC.Broker
State Registrations21 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.