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Michael Prendergast

Ameriprise Financial Services, LLC
41 Years of Experience
Oakbrook Terrace, IL
2 DisclosuresBroker
View SEC Summary
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Michael Prendergast is a registered investment advisor at Ameriprise Financial Services, LLC, based in Oakbrook Terrace, IL, with 41 years of industry experience. Michael 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

1 Lincoln Ctr Ste 1500, Oakbrook Terrace, IL, 60181

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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
October 2008
Denied
Customer Dispute
September 2006
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ameriprise Financial Services, LLC
October 2009 - Present · 17 yrs
Ameriprise Financial Services, LLCBroker
October 2009 - Present · 17 yrs
Ameriprise Financial Services, LLC
October 2009 - Present · 17 yrs
Previous Registrations
Ameriprise Advisor Services, INC.Broker
October 2004 - October 2009 · 5 yrs
Banc of America Investment Services, INC.Broker
October 2004 - November 2004 · 1 mo
Banc of America Investment Services, INC.
October 2004 - November 2004 · 1 mo
H&r Block Financial Advisors, INC.Broker
October 2003 - October 2003 · 0 mos
Ameriprise Advisor Services, INC.
June 2003 - October 2009 · 6 yrs 4 mos
Quick & Reilly, INC.
August 2002 - October 2004 · 2 yrs 2 mos
Quick & Reilly, INC.Broker
January 1985 - October 2004 · 19 yrs 9 mos
State Registrations25 states
AZCACTFLGAHIILINKYMDMEMIMNMONCNMNVNYORRITXUTVAWAWI
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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