TrueAdvisor
TrueAdvisor
CR
CR

Colin Rath

Ameriprise Financial Services, LLC
41 Years of Experience
Red Bank, NJ
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Colin Rath is a registered investment advisor at Ameriprise Financial Services, LLC, based in Red Bank, NJ, with 41 years of industry experience. Colin 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

141 W Front St Ste 140, Red Bank, NJ, 07701

Get directions

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
December 2010
Denied
Customer Dispute
June 1993
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Colin serves as Treasurer on the Board of Directors for Rath, attending virtual meetings. This activity requires minimal time.

Employment History
Current Registrations
Ameriprise Financial Services, LLCBroker
November 2015 - Present · 10 yrs 11 mos
Ameriprise Financial Services, LLC
November 2015 - Present · 10 yrs 11 mos
Ameriprise Financial Services, LLC
November 2015 - Present · 10 yrs 11 mos
Previous Registrations
RBC Capital Markets, LLC
October 2007 - December 2015 · 8 yrs 2 mos
RBC Capital Markets, LLCBroker
March 2002 - December 2015 · 13 yrs 9 mos
Tucker Anthony IncorporatedBroker
July 2000 - March 2002 · 1 yr 8 mos
Gruntal & CO., L.L.C.Broker
March 1995 - July 2000 · 5 yrs 4 mos
Jw Charles Securities,inc.Broker
January 1994 - February 1995 · 1 yr 1 mo
Jw Charles Securities, INC.Broker
April 1992 - January 1994 · 1 yr 9 mos
Reich & CO., INC.Broker
December 1990 - May 1992 · 1 yr 5 mos
Global America IncorporatedBroker
May 1990 - December 1990 · 7 mos
Dean Witter Reynolds INC.Broker
July 1989 - May 1990 · 10 mos
Huberman Securities CORP.Broker
February 1989 - June 1989 · 4 mos
Allied Capital Group, INC.Broker
April 1988 - February 1989 · 10 mos
Graystone Nash, INC.Broker
December 1986 - August 1988 · 1 yr 8 mos
First Jersey Securities, INC.Broker
March 1985 - December 1986 · 1 yr 9 mos
State Registrations15 states
AKALARCTFLGAMINCNJNMNYPASCTXVA
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.
More Advisors
More financial advisors in Red Bank, NJ →All financial advisors in New Jersey →