Mitchell Rock
Mitchell Rock is a registered investment advisor at Ameriprise Financial Services, LLC, based in New York, NY, with 39 years of industry experience. Mitchell 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
530 5th Ave, 10th Floor, New York, NY, 10036
Get directionsHistory
Regulatory History (10)
Customer Dispute
October 2024Customer Dispute
July 2018Customer Dispute
November 2012Customer Dispute
September 2012Customer Dispute
March 2009Customer Dispute
December 2008Customer Dispute
November 2008Customer Dispute
November 2008Customer Dispute
March 2008Customer Dispute
December 1989Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Morgan StanleyBroker
Morgan Stanley
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Cibc World Markets CORP.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Dubin & Swieca Securities, INC.Broker
Lehman Brothers INC.Broker
E. F. Hutton & Company INCBroker
State Registrations17 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.