Roy Waugh
Roy Waugh is a ChFC-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Lawton, OK, with 34 years of industry experience. Roy 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
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
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.
Location
13 NW 44th St, Lawton, OK, 73505-5998
Get directionsHistory
Regulatory History (3)
Customer Dispute
October 2022Customer Dispute
July 2018Customer Dispute
August 2011Other Business Activities
Roy owns several businesses, including Quartz Creek Properties (a holding company for vacation property), True Americana LLC (for buying/selling auto parts and building vintage vehicles), Professional Collaborative Consulting LLC, Elk Head Properties LLC (property management), and Gibraltar Rock LLC (managing his Ameriprise business). These activities take a few hours per week.
Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Previous Registrations
Ids Life Insurance CompanyBroker
State Registrations19 states
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.