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CFP
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CFP

Harold Cook

Ameriprise Financial Services, LLC
38 Years of Experience
Allentown, PA
10 DisclosuresBroker
View SEC Summary
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Harold Cook is a CFP-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Allentown, PA, with 38 years of industry experience. Harold 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

5100 W Tilghman St Ste 211, Allentown, PA, 18104

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History

Regulatory History (10)
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
June 2014
Judgment / Lien
March 2014
Judgment / Lien
December 2013
Judgment / Lien
June 2013
Judgment / Lien
October 2012
Judgment / Lien
September 2012
Judgment / Lien
November 2009
Judgment / Lien
June 2008
Judgment / Lien
June 2007
Judgment / Lien
April 2005
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Harold owns commercial real estate since 2021 and a consulting business since 2019. The consulting business takes about 10-20% of Harold's time.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
July 2002 - Present · 24 yrs 3 mos
Ameriprise Financial Services, LLCBroker
November 1987 - Present · 38 yrs 11 mos
Ameriprise Financial Services, LLC
November 1987 - Present · 38 yrs 11 mos
Previous Registrations
Ids Life Insurance CompanyBroker
November 1987 - July 2006 · 18 yrs 8 mos
State Registrations7 states
CTFLNJNYOHPASC
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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