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Randall Rhodes

32 Years of Experience
Lincoln, NE
2 DisclosuresBroker

Randall Rhodes is a registered investment advisor at Ameriprise Financial Services, LLC, based in Lincoln, NE, with 32 years of industry experience. Randall 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
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12781 advisors
Number of Clients
1,330,280 clients
Average Client Portfolio
$424K average
Assets Under Management
$564.6B

Fee Structure

Minimum Investment:$2K

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.

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Location

570 Fallbrook Blvd Ste 103, Lincoln, NE, 68521

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History

Regulatory History (2)
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.
Regulatory
September 2009
Final
Customer Dispute
January 2005
Denied
Other Business Activities

Randall manages an Ameriprise business and is the owner of Rhodes Family Ventures, LLC, dedicating about 10-20% of his time to each. He also serves as a board member for Rhodes, spending minimal time on these roles.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
December 2017 - Present · 8 yrs 5 mos
Ameriprise Financial Services, LLC
November 2017 - Present · 8 yrs 6 mos
Ameriprise Financial Services, LLCBroker
November 2017 - Present · 8 yrs 6 mos
Previous Registrations
Sii Investments, INC.
July 2015 - November 2017 · 2 yrs 4 mos
Sii Investments, INC.Broker
January 2013 - November 2017 · 4 yrs 10 mos
Princor Financial Services Corporation
July 2008 - November 2009 · 1 yr 4 mos
Princor Financial Services CorporationBroker
June 2008 - February 2013 · 4 yrs 8 mos
Active Allocation, LLC
October 2007 - July 2008 · 9 mos
Active Allocation, LLC
March 2007 - July 2007 · 4 mos
Qa3 Financial LLC
February 2006 - March 2007 · 1 yr 1 mo
Qa3 Financial CORP.Broker
November 2005 - June 2008 · 2 yrs 7 mos
Multi-Financial Securities CorporationBroker
January 2004 - December 2005 · 1 yr 11 mos
Vestax Securities CorporationBroker
August 2003 - January 2004 · 5 mos
Royal Alliance Associates, INC.
February 2002 - August 2003 · 1 yr 6 mos
Royal Alliance Associates, INC.Broker
June 2001 - August 2003 · 2 yrs 2 mos
Vestax Securities CorporationBroker
January 1998 - June 2001 · 3 yrs 5 mos
Royal Alliance Associates, INC.Broker
April 1996 - January 1998 · 1 yr 9 mos
Linsco/private Ledger CORP.Broker
October 1995 - April 1996 · 6 mos
Wall Street Investor ServicesBroker
June 1993 - October 1995 · 2 yrs 4 mos
State Registrations9 states
AZCOFLIAILKSMONETX
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.