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Randall Hooper

Ameriprise Financial Services, LLC
36 Years of Experience
Boca Raton, FL
4 DisclosuresBroker
View SEC Summary
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Randall Hooper is a registered investment advisor at Ameriprise Financial Services, LLC, based in Boca Raton, FL, with 36 years of industry experience. Randall 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

5200 Town Center Cir Ste 600, Boca Raton, FL, 33486-1045

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History

Regulatory History (4)
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
April 2022
Denied
Customer Dispute
May 2016
Settled
Customer Dispute
October 2009
Denied
Customer Dispute
October 2001
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Randall has a business ownership activity that is not investment-related. He spends a few hours per week on this activity.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
November 2022 - Present · 3 yrs 11 mos
Ameriprise Financial Services, LLCBroker
November 2022 - Present · 3 yrs 11 mos
Ameriprise Financial Services, LLC
November 2022 - Present · 3 yrs 11 mos
Previous Registrations
UBS Financial Services INC.
October 2012 - November 2022 · 10 yrs 1 mo
UBS Financial Services INC.Broker
October 2012 - November 2022 · 10 yrs 1 mo
Morgan StanleyBroker
June 2009 - October 2012 · 3 yrs 4 mos
Morgan Stanley
June 2009 - October 2012 · 3 yrs 4 mos
Morgan Stanley & CO. Incorporated
August 2007 - June 2009 · 1 yr 10 mos
Morgan Stanley & CO. IncorporatedBroker
August 2007 - June 2009 · 1 yr 10 mos
Citigroup Global Markets INC.
February 1999 - August 2007 · 8 yrs 6 mos
Citigroup Global Markets INC.Broker
February 1999 - August 2007 · 8 yrs 6 mos
Raymond James & Associates, INC.Broker
September 1995 - February 1999 · 3 yrs 5 mos
Jw Charles Securities,inc.Broker
January 1994 - August 1995 · 1 yr 7 mos
Jw Charles Securities, INC.Broker
June 1992 - January 1994 · 1 yr 7 mos
Dean Witter Reynolds INC.Broker
October 1990 - April 1992 · 1 yr 6 mos
Palm Beach Financial, INC.Broker
July 1990 - October 1990 · 3 mos
State Registrations15 states
AZCOFLGAILLAMAMDMNNCNVNYOHPATN
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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Randall Hooper - Financial Advisor | TrueAdvisor