TrueAdvisor
TrueAdvisor
SR
SR

Samuel Rothberg

Ameriprise Financial Services, LLC
39 Years of Experience
Ft Lauderdale, FL
1 DisclosureBroker
View SEC Summary
View SEC Summary

Samuel Rothberg is a registered investment advisor at Ameriprise Financial Services, LLC, based in Ft Lauderdale, FL, with 39 years of industry experience. Samuel 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

350 E Las Olas Blvd, Ste 1700, Ft Lauderdale, FL, 33301

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
March 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Samuel works part-time as a Rabbi at Temple Sinai of North Dade since 2013. This requires minimal time each month and does not occur during trading hours.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
February 2010 - Present · 16 yrs 8 mos
Ameriprise Financial Services, LLC
February 2010 - Present · 16 yrs 8 mos
Ameriprise Financial Services, LLCBroker
February 2010 - Present · 16 yrs 8 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - February 2010 · 8 mos
Morgan Stanley Smith Barney LLC
June 2009 - February 2010 · 8 mos
Citigroup Global Markets INC.
July 1993 - June 2009 · 15 yrs 11 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
January 1987 - July 1993 · 6 yrs 6 mos
State Registrations11 states
AZCAFLGAMANCNYORPARITN
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 Ft Lauderdale, FL →All financial advisors in Florida →