Leon Roat
Leon Roat is a registered investment advisor at Ameriprise Financial Services, LLC, based in San Jose, CA, with 34 years of industry experience. Leon 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
1 Almaden Blvd, Ste 810, San Jose, CA, 95113-2215
Get directionsHistory
Regulatory History (3)
Customer Dispute
July 2020Customer Dispute
March 2011Customer Dispute
November 2008Other Business ActivitiesSells Insurance
Leon owns multiple real estate properties. Leon is also an independent insurance broker for several companies, including Anthem Blue Cross Life and Health Insurance Company, Crestbrook Insurance Company, Jackson National, and Safehealth Life Insurance Company.
Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Previous Registrations
Ids Life Insurance CompanyBroker
State Registrations26 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.