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Richard Dunagan

Ameriprise Financial Services, LLC
34 Years of Experience
Austin, TX
2 DisclosuresBroker
View SEC Summary
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Richard Dunagan is a registered investment advisor at Ameriprise Financial Services, LLC, based in Austin, TX, with 34 years of industry experience. Richard 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

9442 N Capital of Texas Hwy, Ste 800, Austin, TX, 78759

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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
May 2001
Withdrawn
Criminal
March 1979
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Richard owns StockGun, a business involved in the transfer of weapons under a Federal Firearm License, since 2014. He spends a few hours per week on this activity.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
September 2016 - Present · 10 yrs 1 mo
Ameriprise Financial Services, LLC
September 2016 - Present · 10 yrs 1 mo
Ameriprise Financial Services, LLCBroker
September 2016 - Present · 10 yrs 1 mo
Previous Registrations
Ameriprise Financial Services, INC.
September 2016 - September 2016 · 0 mos
Wells Fargo Advisors, LLCBroker
July 2003 - September 2016 · 13 yrs 2 mos
Wells Fargo Advisors, LLC
July 2003 - September 2016 · 13 yrs 2 mos
Prudential Securities Incorporated
March 2001 - July 2003 · 2 yrs 4 mos
Prudential Securities IncorporatedBroker
March 2001 - July 2003 · 2 yrs 4 mos
Salomon Smith Barney INC.Broker
July 1993 - April 2001 · 7 yrs 9 mos
Lehman Brothers INC.Broker
July 1992 - July 1993 · 1 yr
State Registrations14 states
CACOFLIAINMDMNMSNCNMOKTXVAWA
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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