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TC
CFP · ChFC
TC
CFP · ChFC

Thomas Cooper

Ameriprise Financial Services, LLC
35 Years of Experience
Marathon, FL
3 DisclosuresBroker
View SEC Summary
View SEC Summary

Thomas Cooper is a CFP, ChFC-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Marathon, FL, with 35 years of industry experience. Thomas 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

11290 Overseas Hwy, Marathon, FL, 33050

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History

Regulatory History (3)
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
August 2009
Denied
Customer Dispute
September 2008
Settled
Customer Dispute
February 1996
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Thomas is employed by Centennial Bank since 2018. This investment-related activity takes approximately 60 hours per month.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
June 2018 - Present · 8 yrs 4 mos
Ameriprise Financial Services, LLCBroker
June 2018 - Present · 8 yrs 4 mos
Ameriprise Financial Services, LLC
June 2018 - Present · 8 yrs 4 mos
Previous Registrations
Investment Professionals, INC.
March 2012 - September 2018 · 6 yrs 6 mos
Investment Professionals, INC.Broker
March 2012 - September 2018 · 6 yrs 6 mos
Ameriprise Financial Services, INC.
June 2008 - March 2012 · 3 yrs 9 mos
Ameriprise Financial Services, INC.Broker
June 2008 - March 2012 · 3 yrs 9 mos
Suntrust Investment Services, INC.
July 2005 - June 2008 · 2 yrs 11 mos
Suntrust Investment Services, INC.Broker
July 2005 - June 2008 · 2 yrs 11 mos
Banc of America Investment Services, INC.
January 2004 - July 2005 · 1 yr 6 mos
Banc of America Investment Services, INC.
January 2003 - December 2003 · 11 mos
Banc of America Investment Services, INC.Broker
October 2002 - July 2005 · 2 yrs 9 mos
UBS Painewebber INC.
June 2001 - October 2002 · 1 yr 4 mos
UBS Painewebber INC.Broker
August 2000 - October 2002 · 2 yrs 2 mos
J.C. Bradford & CO.Broker
July 1999 - August 2000 · 1 yr 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1995 - July 1999 · 4 yrs 6 mos
Regions Investment Company, INC.Broker
April 1994 - November 1994 · 7 mos
Jmc Investment Services, INC.Broker
February 1994 - April 1994 · 2 mos
First Tennessee Brokerage, INC.Broker
May 1993 - February 1994 · 9 mos
The Prudential Insurance Company of AmericaBroker
March 1991 - May 1993 · 2 yrs 2 mos
Pruco Securities CorporationBroker
March 1991 - May 1993 · 2 yrs 2 mos
State Registrations15 states
ALFLGAHIINMINCNYOHTNTXVTVirgin IslandsWAWI
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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