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Mauri Hendrickson

Ameriprise Financial Services, LLC
35 Years of Experience
Newport Beach, CA
10 DisclosuresBroker
View SEC Summary
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Mauri Hendrickson is a registered investment advisor at Ameriprise Financial Services, LLC, based in Newport Beach, CA, with 35 years of industry experience. Mauri 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

660 Newport Center Dr, Ste 800, Newport Beach, CA, 92660

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History

Regulatory History (10)
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
May 2007
Settled
Customer Dispute
September 2003
Closed-No Action
Customer Dispute
April 2003
Closed-No Action
Customer Dispute
January 2003
Closed-No Action
Customer Dispute
May 2002
Closed-No Action
Customer Dispute
April 2002
Settled
Customer Dispute
March 2002
Settled
Customer Dispute
February 2002
Settled
Employment Separation After Allegations
February 2002
Customer Dispute
November 2001
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ameriprise Financial Services, LLC
May 2024 - Present · 2 yrs 5 mos
Ameriprise Financial Services, LLC
May 2024 - Present · 2 yrs 5 mos
Ameriprise Financial Services, LLCBroker
May 2024 - Present · 2 yrs 5 mos
Previous Registrations
Raymond James & Associates, INC.Broker
September 2014 - May 2024 · 9 yrs 8 mos
Raymond James & Associates, INC.
September 2014 - May 2024 · 9 yrs 8 mos
Wedbush Securities INC.
November 2008 - September 2014 · 5 yrs 10 mos
Wedbush Securities INC.Broker
November 2008 - September 2014 · 5 yrs 10 mos
Crowell, Weedon & CO.
December 2006 - November 2008 · 1 yr 11 mos
Crowell, Weedon & CO.Broker
December 2006 - November 2008 · 1 yr 11 mos
Seidler Investment Advisors Incorporated
April 2005 - December 2006 · 1 yr 8 mos
The Seidler Companies IncorporatedBroker
April 2005 - December 2006 · 1 yr 8 mos
Morgan Stanley
March 2002 - May 2005 · 3 yrs 2 mos
Morgan Stanley Dw INC.Broker
March 2002 - May 2005 · 3 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1991 - March 2002 · 10 yrs 11 mos
State Registrations11 states
AZCAIDMTNCNVOHOKTXVAWA
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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Mauri Hendrickson - Financial Advisor | TrueAdvisor