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Charles Southard

Ameriprise Financial Services, LLC
40 Years of Experience
Miamisburg, OH
11 DisclosuresBroker
View SEC Summary
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Charles Southard is a registered investment advisor at Ameriprise Financial Services, LLC, based in Miamisburg, OH, with 40 years of industry experience. Charles 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
12908 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

10050 Innovation Dr, Ste 310, Miamisburg, OH, 45342-4933

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History

Regulatory History (11)
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.
Judgment / Lien
August 2014
Judgment / Lien
August 2014
Judgment / Lien
May 2012
Judgment / Lien
May 2012
Judgment / Lien
September 2010
Judgment / Lien
August 2008
Judgment / Lien
March 2007
Judgment / Lien
April 2006
Judgment / Lien
April 2006
Judgment / Lien
March 2006
Judgment / Lien
March 2004
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Charles has a business ownership activity, dedicating minimal time to it. Further details about the business are not provided in the filing.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
September 1999 - Present · 27 yrs 1 mo
Ameriprise Financial Services, LLCBroker
January 1986 - Present · 40 yrs 9 mos
Ameriprise Financial Services, LLC
January 1986 - Present · 40 yrs 9 mos
Previous Registrations
Ids Life Insurance CompanyBroker
July 2003 - July 2006 · 3 yrs
State Registrations2 states
FLOH
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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