RS
CFP
RS
CFP

Randall Sutton

40 Years of Experience
Houston, TX
Broker

Randall Sutton is a CFP-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Houston, TX, with 40 years of industry experience. Randall 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
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12781 advisors
Number of Clients
1,330,280 clients
Average Client Portfolio
$424K average
Assets Under Management
$564.6B

Fee Structure

Minimum Investment:$2K

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.

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Location

5151 San Felipe St, Ste 2100, Houston, TX, 77056-3727

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Ameriprise Financial Services, LLC
August 2020 - Present · 5 yrs 11 mos
Ameriprise Financial Services, LLCBroker
August 2020 - Present · 5 yrs 11 mos
Ameriprise Financial Services, LLC
August 2020 - Present · 5 yrs 11 mos
Previous Registrations
Morgan StanleyBroker
June 2011 - August 2020 · 9 yrs 2 mos
Morgan Stanley
June 2011 - August 2020 · 9 yrs 2 mos
RBC Capital Markets, LLCBroker
August 2004 - June 2011 · 6 yrs 10 mos
RBC Capital Markets, LLC
August 2004 - June 2011 · 6 yrs 10 mos
UBS Financial Services INC.
October 1998 - September 2004 · 5 yrs 11 mos
UBS Financial Services INC.Broker
October 1998 - September 2004 · 5 yrs 11 mos
Dain Rauscher IncorporatedBroker
March 1998 - October 1998 · 7 mos
Dain Rauscher IncorporatedBroker
January 1998 - March 1998 · 2 mos
Rauscher Pierce Refsnes, INC.Broker
November 1994 - January 1998 · 3 yrs 2 mos
Kidder, Peabody & CO. IncorporatedBroker
October 1992 - December 1994 · 2 yrs 2 mos
Painewebber IncorporatedBroker
January 1991 - October 1992 · 1 yr 9 mos
Rotan Mosle INC.Broker
November 1985 - January 1991 · 5 yrs 2 mos
State Registrations21 states
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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.
Randall Sutton - Financial Advisor | TrueAdvisor