TrueAdvisor
TrueAdvisor
LR
LR

Lisa Rosenau

Ameriprise Financial Services, LLC
37 Years of Experience
Santa Cruz, CA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Lisa Rosenau is a registered investment advisor at Ameriprise Financial Services, LLC, based in Santa Cruz, CA, with 37 years of industry experience. Lisa 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

125 Water St, Ste A-3, Santa Cruz, CA, 95060

Get directions

History

Regulatory History (1)
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
November 2002
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ameriprise Financial Services, LLC
October 2012 - Present · 14 yrs
Ameriprise Financial Services, LLC
September 2012 - Present · 14 yrs 1 mo
Ameriprise Financial Services, LLCBroker
September 2012 - Present · 14 yrs 1 mo
Previous Registrations
Geneos Wealth Management, INC.Broker
January 2006 - September 2012 · 6 yrs 8 mos
Aig Financial Advisors, INC.Broker
October 2005 - December 2005 · 2 mos
Financial Resource Associates, INC.
July 2001 - August 2011 · 10 yrs 1 mo
Sunamerica Securities, INC.Broker
September 1997 - October 2005 · 8 yrs 1 mo
Investment Management & Research, INCBroker
January 1996 - May 1997 · 1 yr 4 mos
Investment Management & Research, INCBroker
July 1992 - August 1994 · 2 yrs 1 mo
Linsco/private Ledger CORP.Broker
March 1992 - August 1992 · 5 mos
Foothill Securities, INC.Broker
March 1990 - February 1992 · 1 yr 11 mos
Great Western Financial Securities CorporationBroker
August 1988 - May 1990 · 1 yr 9 mos
Murphey Favre, INC.Broker
January 1987 - May 1988 · 1 yr 4 mos
State Registrations15 states
AZCACODCHIILMTNVNYORPATXVAWAWV
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 Santa Cruz, CA →All financial advisors in California →