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Bradford Klein

Ameriprise Financial Services, LLC
35 Years of Experience
Beaumont, TX
2 DisclosuresBroker
View SEC Summary
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Bradford Klein is a registered investment advisor at Ameriprise Financial Services, LLC, based in Beaumont, TX, with 35 years of industry experience. Bradford 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

2615 Calder Ave Ste 150, Beaumont, TX, 77702-1957

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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.
Customer Dispute
November 2010
Denied
Customer Dispute
November 1995
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Bradford co-owns Crossroads Capital LLC and CalvaryLot2 LLC, both real estate ventures, and Q5 Operations LLC, which manages an Ameriprise business. He also owns BAK Operations LLC, which manages an Ameriprise business, dedicating a few hours per week to each venture.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
August 2024 - Present · 2 yrs 2 mos
Ameriprise Financial Services, LLC
August 2024 - Present · 2 yrs 2 mos
Ameriprise Financial Services, LLCBroker
August 2024 - Present · 2 yrs 2 mos
Previous Registrations
UBS Financial Services INC.
January 2012 - August 2024 · 12 yrs 7 mos
UBS Financial Services INC.Broker
January 2012 - August 2024 · 12 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 1991 - January 2012 · 20 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1991 - January 2012 · 20 yrs 10 mos
State Registrations6 states
COFLLAMSNCTX
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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